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Full text of "North Carolina Register v.10 no. 13 (10/2/1995)"






NORTH CAROLINA 

REGISTER 



= — 



VOLUME 10 

t " ; .TT 




> ISSUE 13 • Pages 1061 - 1228 
October 2, 1995 



IN THIS ISSUE 

Executive Orders 

Environment, Health, and Natural Resources 

Human Resources 

Mortuary Science 

Social Work, Board of 

RRC Objections 

Contested Case Decisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-1 1.13 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each count)' m the state and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and twenty dollars ($120.00) for 24 
issues. Individual issues may be purchased for ten dollars 
($10.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, PO Drawer 
27447. Raleigh, NC 27611-7447. 

ADOPTION. AMENDMENT, AND REPEAL OF RULES 

The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may 
request a hearing): a statement of procedure for public comments: 
the text of the proposed rule or the statement of subject matter; the 
reason for the proposed action: a reference to the statutory 
authority for the action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file the 
rule with the Rules Review Commission (RRC). After approval 
by RRC. the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative 
Code (NCAC). 

Proposed action on rules may be withdrawn by the promulgating 



agency at any time before final action is taken by the agency or 
before fifing with OAH for publication in the NCAC. 

TEMPORARY RULES 

Under certain emergency conditions, agencies may issue 
temporary rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions 
in G.S. 150B-21.1. If the Codifier determines that the findings 
meet the criteria in G.S. 150B-21.1. the rule is entered into the 
NCAC. If the Codifier determines that the findings do not meet 
the criteria, the rule is returned to the agency. The agency may 
supplement its findings and resubmit the temporary rule for an 
additional review or the agency may respond that it will remain 
with its initial position. The Codifier, thereafter, will enter the 
rule into the NCAC. A temporary rule becomes effective either 
when the Codifier of Rules enters the rule in the Code or on the 
sixth business day after the agency resubmits the rule without 
change. The temporary rule is in effect for the period specified in 
the rule or 180 days, whichever is less. An agency adopting a 
temporary rule must begin rule-making procedures on the 
permanent rule at the same time the temporary rule is filed with 
the Codifier. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 40 occupational licensing boards. Compilation and 
publication of the NCAC is mandated by G.S. 150B-21 .18. 

The Code is divided into Tides and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 
The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents ($2.50) for 10 pages or less, 
plus fifteen cents ($0.15) per each additional page. 
Requests for pages of rules or volumes of the NCAC 
should be directed to the Office of Administrative 
Hearings. 

(2) The full publication and supplement service is printed 
and distributed by Barclays Law Publishers. It is 
available m hardcopy. CD-ROM and diskette format. 
For subscription information, call 1-800-888-3600. 

CITATION TO THE NORTH CAROLINA REGISTER 

The North Carolina Register is cited by volume, issue, page 
number and date. 10:01 NCR 1-67, April 3, 1995 refers to 
Volume 10, Issue 1, pages 1 through 67 of the North Carolina 
Register issued on April 3, 1995. 



FOR INFORMATION CONTACT: Office of Administrative Hearings, ATTN: Rules Division, PO Drawer 27447, Raleigh, 
NC 27611-7447. (919) 733-2678. FAX (919) 733-3462. 



NORTH CAROLINA 
I 



IN THIS ISSUE 




I. EXECUTIVE ORDERS 

Executive Orders 85-86 1061 

II. GENERAL STATUTES 

Chapter 150B 1062- 1083 

III. IN ADDITION 

Voting Rights Act 1084 



Volume lO, Issue 13 
Pages 1061 - 1228 

October 2, 1995 



This issue contains documents officially filed 
through September 18, 1995. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733-2678 

FAX (919) 733-3462 



Julian Mann III, Director 

James R. Scarcella Sr., Deputy Director 

Molly Masich, Director of APA Services 

Ruby Creech, Publications Coordinator 

Teresa Kilpatrick, Editorial Assistant 

Jean Shirley, Editorial Assistant 



IV. PROPOSED RULES 

Environment, Health, and Natural Resources 

Health Services 1160-1182 

Wildlife Resources 1159-1160 

Human Resources 

Medical Assistance 1153- 1158 

Mental Health, Developmental Disabilities and 

Substance Abuse Services 1085-1153 

Social Services 1 158 - 1 159 

Licensing Boards 

Mortuary Science 1182-1185 

Social Work, Board of 1185 

V. RRC OBJECTIONS 1186-1190 

VI. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 1191-1204 

Text of Selected Decisions 

94 DHR 1617 1205-1208 

95 OSP 0440 1209- 1215 

VII. CUMULATIVE INDEX 1217-1228 



NORTH CAROLINA REGISTER 

Publication Schedule 

(July 1995 - November 1995) 



Volume 
and 

Issue 
Number 


Issue 
Date 


Last Day 
for Filing 


Last Day 
for Elec- 
tronic 
Filing 


Earliest 
Date for 
Public 
Hearing 
15 days 
from no- 
tice 


* End of 

Required 

Comment 

Penod 

30 days 

from 

notice 


Last Day 

to Submit 

to RRC 


** Earliest 

Effective 

Date 


10:7 


07/03/95 


06/12/95 


06/19/95 


07/18/95 


08/02/95 


08/21/95 


10/01/95 


10:8 


07/14/95 


06/22/95 


06/29/95 


07/31/95 


08/14/95 


08/21/95 


10/01/95 


10:9 


08/01/95 


07/11/95 


07/18/95 


08/16/95 


08/31/95 


09/20/95 


11/01/95 


10:10 


08/15/95 


07/25/95 


08/01/95 


08/30/95 


09/14/95 


09/20/95 


11/01/95 


10:11 


09/01/95 


08/11/95 


08/18/95 


09/18/95 


10/02/95 


10/20/95 


12/01/95 


10:12 


09/15/95 


08/24/95 


08/31/95 


10/02/95 


10/16/95 


10/20/95 


12/01/95 


10:13 


10/02/95 


09/11/95 


09/18/95 


10/17/95 


11/01/95 


11/20/95 


01/01/96 


10:14 


10/16/95 


09/25/95 


10/02/95 


10/31/95 


11/15/95 


11/20/95 


01/01/96 


10:15 


11/01/95 


10/11/95 


10/18/95 


11/16/95 


12/01/95 


12/20/95 


02/01/96 


10:16 


11/15/95 


10/24/95 


10/31/95 


11/30/95 


12/15/95 


12/20/95 


02/01/96 



This table is published as a public service, and the computation of time periods are not to be deemed binding or controlling. 
Time is computed according to 26 NCAC 2B .0103 and the Rules of Civil Procedure, Rule 6. 

* An agency must accept comments for at least 30 days after the proposed text is published or until the date of any public 
hearing, whichever is longer. See G.S. 150B-21.2(f) for adoption procedures. 

** The "Earliest Effective Date" is computed assuming that the agency follows the publication schedule below, that the Rules 
Review Commission approves the rule at the next calendar month meeting after submission, and that RRC delivers the rule to the 
Codifier of Rules five (5) business days before the 1st day of the next calendar month. 



Revised 07/95 



EXECUTIVE ORDERS 



EXECUTIVE ORDER NO. 85 

ESCORTS FOR FOREIGN RESEARCH 

REACTOR SPENT NUCLEAR FUEL 

WHEREAS, the United States Department of Energy 
intends to ship by rail Foreign Research Reactor Spent 
Nuclear Fuel from Sunny Point Army Terminal in North 
Carolina to the Savannah River federal facility in South 
Carolina; 

WHEREAS, the United States Department of Energy has 
agreed that the State of North Carolina has a public safety 
interest in safeguarding these rail shipments; and 

WHEREAS, the United States Department of Energy and 
the State of North Carolina have agreed to allow law 
enforcement and other State officials to review the status of 
the tracks ahead of the shipments, accompany the shipments, 
and provide escort for these shipments. 

NOW, THEREFORE, by the authority vested in me as 
Governor by the laws and Constitution of the State of North 
Carolina, YT IS ORDERED: 



Radiation Protection, shall be assigned as is deemed 
necessary by the respective Department heads. 

This Order is effective immediately and shall expire 90 
days from this date unless terminated or extended by further 
Executive Order. 

Done in Raleigh, this the 12th day of September, 1995. 

EXECUTIVE ORDER NO. 86 

RESCISSION OF EXECUTIVE 

ORDER 72 

WHEREAS, Executive Order No. 72 was signed March 
6, 1995, creating the North Carolina State Postsecondary 
Eligibility Review Commission; and 

WHEREAS, on July 27, 1995, funding for the State 
Postsecondary Review Program was rescinded by federal 
law; and 

WHEREAS, on August 22, 1995, the Commission held its 
fmal meeting and adopted a dissolution resolution. 



Section h 

That for all Foreign Research Reactor Spent Nuclear Fuel 
shipped through the State of North Carolina, the North 
Carolina State Highway Patrol Commander shall assign such 
personnel and equipment as he deems necessary to accom- 
pany the shipments, to review the status of the tracks ahead 
of the shipments, and to escort the shipments. 



NOW, THEREFORE, by the power vested in me as 
Governor by the Constitution and laws of North Carolina, 
rr IS ORDERED: 

Executive Order No. 72 (North Carolina State 
Postsecondary Eligibility Review Commission), dated March 
6, 1995, is hereby rescinded. 



Section 2^ 

That such other State employees, including members of 
the Department of Crime Control and Public Safety, 
Division of Emergency Management, and Department of 
Environment, Health, and Natural Resources, Division of 



This Order shall be effective immediately. 

Done in Raleigh, North Carolina, this the 12th day of 
September, 1995. 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1061 



GENERAL STATUTES OF NORTH CAROLINA 



CHAPTER 150B 

THE ADMINISTRATIVE PROCEDURE ACT 

[The following excerpt contains the statutory provisions of the Administrative Procedure Act as amended by the 1995 Regular 
Session of the 1995 General Assembly, by the following bills: HB 895, effective October 1, 1995; HB 230, effective 
December 1. 1995; SB 874, effective July 28, 1995; SB 943, effective January 1, 1996.] 



Article 1. 
General Provisions. 
§ 150B-1. Policy and scope. 

(a) Purpose. - This Chapter establishes a uniform system 
of administrative rule making and adjudicatory procedures 
for agencies. The procedures ensure that the functions of 
rule making, investigation, advocacy, and adjudication are 
not all performed by the same person in the administrative 
process. 

(b) Rights. - This Chapter confers procedural rights. 

(c) Full Exemptions. - This Chapter applies to every 
agency except: 

(1) 



The North Carolina National Guard in exercising 

its court-martial jurisdiction. 

The Department of Human Resources in 

exercising its authority over the Camp Burner 

reservation granted in Article 6 of Chapter 122C 

of the General Statutes. 

The Utilities Commission. 

The Industrial Commission. 

The Employment Security Commission. 

(d) Exemptions From Rule Making. — Article 2A of this 
Chapter does not apply to the following: 

(1) The Commission. 

The North Carolina Low-Level Radioactive 
Waste Management Authority in administering 
the provisions of G.S. 104G-10 and G.S. 
104G-11. 

The North Carolina Hazardous Waste 
Management Commission in administering the 
provisions of G.S. 130B-13 and G.S. 130B-14. 
The Department of Revenue, except that Ports 3 
and 4 of Article 2A apply to tho Department, 
with respect to the notice and hearing 
requirements contained in Part 2 of Article 2A. 

(5) The North Carolina Air Cargo Airport Authority 
with respect to the acquisition, construction, 
operation, or use, including fees or charges, of 
any portion of a cargo airport complex. 

(6) The Department of Correction, with respect to 
matters relating solely to persons in its custody 
or under its supervision, including prisoners, 
probationers, and parolees. 

(e) Exemptions From Contested Case Provi-sions. — The 
contested case provisions of this Chapter apply to all 
agencies and all proceedings not expressly exempted from 
the Chapter. The contested case provisions of this Chapter 
do not apply to the following: 

(1) The Department of Human Resources and the 



(2) 



(3) 

(4) 
(5) 



(2) 



(3) 



(4) 



Department of Environment, Health, and 
Natural Resources in complying with the 
procedural safeguards mandated by Section 680 
of Part H of Public Law 99-457 as amended 
(Education of the Handicapped Act Amendments 
of 1986). 

(2) Repealed by Session Laws 1993 c. 501, s. 29, 
effective July 23, 1993. 

(3) The North Carolina Low-Level Radioactive 
Waste Management Authority in administering 
the provisions of G.S. 104G-9, 104G-10, and 
104G-11. 

(4) The North Carolina Hazardous Waste 
Management Commission in administering the 
provisions of G.S. 130B-11, 130B-13, and 
130B-14. 

(5) Hearings required pursuant to the Rehabilitation 
Act of 1973, (Public Law 93-122), as amended 
and federal regulations promulgated thereunder. 
G.S. 150B-51(a) is considered a contested case 
hearing provision that does not apply to these 
hearings. 

(6) The Department of Revenue. 

(7) The Department of Correction. 

(8) The Department of Transportation, except as 
provided in G.S. 136-29. 

(9) The Occupational Safety and Health Review 
Board in all actions that do not involve 
agricultural employers. 

( 10) The North Carolina Air Cargo Airport Authority 
with respect to the acquisition, construction, 
operation, or use, including fees or charges, of 
any portion of a cargo airport complex. 

(f) Exemption From All But Judicial Review. -- No 
Article in this Chapter except Article 4 applies to the 
University of North Carolina. 

§ 150B-2. Definitions. - As used in this Chapter, 
(01) "Administrative law judge" means a person 
appointed under G.S. 7A-752, 7A-753, or 
7A-757. 
(1) "Agency" means an agency or an officer in the 

executive branch of the government of this State 
and includes the Council of State, the 
Governor's Office, a board, a commission, a 
department, a division, a council, and any other 
unit of government in the executive branch. A 
local unit of government is not an agency, 
(la) "Adopt" means to take final action to create, 
amend, or repeal a rule. 



1062 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



GENERAL STATUTES OF NORTH CAROLINA 



> 



(lb) "Codifier of Rules" means the Chief 
Administrative Law Judge of the Office of 
Administrative Hearings or a designated 
representative of the Chief Administrative Law 
Judge. 

(lc) "Commission" means the Rules Review 
Commission. 

(2) "Contested case" means an administrative 
proceeding pursuant to this Chapter to resolve a 
dispute between an agency and another person 
that involves the person's rights, duties, or 
privileges, including licensing or the levy of a 
monetary penalty. "Contested case" does not 
include rulemaking, declaratory rulings, or the 
award or denial of a scholarship or grant. 

(2a) Repealed by Session Laws 1991, c. 418, s. 3, 
effective October 1, 1991. 

(2b) "Hearing officer" means a person or group of 
persons designated by an agency that is subject 
to Article 3A of this Chapter to preside in a 
contested case hearing conducted under that 
Article. 

(3) "License" means any certificate, permit or other 
evidence, by whatever name called, of a right or 
privilege to engage in any activity except 
licenses issued under Chapter 20 and Subchapter 
I of Chapter 105 of the General Statutes and 
occupational licenses. 

(4) "Licensing" means any administrative action 
issuing, failing to issue, suspending, or revoking 
a license or occupational license. "Licensing'' 
does not include controversies over whether an 
examination was fair or whether the applicant 
passed the examination. 

(4a) "Occupational license" means any certificate, 
permit, or other evidence, by whatever name 
called, of a right or privilege to engage in a 
profession, occupation, or field of endeavor that 
is issued by an occupational licensing agency. 

(4b) "Occupational licensing agency" means any 
board, commission, committee or other agency 
of the State of North Carolina which is 
established for the primary purpose of regulating 
the entry of persons into, and/or the conduct of 
persons within a particular profession, 
occupation or field of endeavor, and which is 
authorized to issue and revoke licenses. 
"Occupational licensing agency" does not include 
State agencies or departments which may as only 
a part of their regular function issue permits or 
licenses. 

(5) "Party" means any person or agency named or 
admitted as a party or properly seeking as of 
right to be admitted as a party and includes the 
agency as appropriate. This subdivision does 
not permit an agency that makes a final decision, 
or an officer or employee of the agency, to 



petition for initial judicial review of that 
decision. 

(6) "Person aggrieved" means any person or group 
of persons of common interest directly or 
indirectly affected substantially in his or its 
person, property, or employment by an 
administrative decision. 

(7) "Person" means any natural person, partnership, 
corporation, body politic and any unincorporated 
association, organization, or society which may 
sue or be sued under a common name. 

(8) "Residence" means domicile or principal place 
of business. 

(8a) "Rule" means any agency regulation, standard, 
or statement of general applicability that 
implements or interprets an enactment of the 
General Assembly or Congress or a regulation 
adopted by a federal agency or that describes the 
procedure or practice requirements of an agency. 
The term includes the establishment of a fee and 
the amendment or repeal of a prior rule. The 
term does not include the following: 

a. Statements concerning only the internal 
management of an agency or group of 
agencies within the same principal office 
or department enumerated in G.S. 143-11 
or 143B-6, including policies and 
procedures manuals, if the statement does 
not directly or substantially affect the 
procedural or substantive rights or duties 
of a person not employed by the agency or 
group of agencies. 

b. Budgets and budget policies and 
procedures issued by the Director of the 
Budget, by the head of a department, as 
defined by G.S. 143A-2 or G.S. 143B-3, 
by an occupational licensing board, as 
defined by G.S. 93B-1, or by the State 
Board of Elections. 

c. Nonbinding interpretive statements within 
the delegated authority of an agency that 
merely define, interpret, or explain the 
meaning of a statute or rule. 

d. A form, the contents or substantive 
requirements of which are prescribed by 
rule or statute. 

e. Statements of agency policy made in the 
context of another proceeding, including: 

1. Declaratory rulings under G.S. 150B-4. 

2. Orders establishing or fixing rates or 
tariffs. 

f. Requirements, communicated to the public 
by the use of signs or symbols, concerning 
the use of public roads, bridges, ferries, 
buildings, or facilities. 

g. Statements that set forth criteria or 
guidelines to be used by the staff of an 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1063 



GENERAL STATUTES OF NORTH CAROLINA 



l- 



agency in performing audits, 

investigations, or inspections; in settling 
financial disputes or negotiating financial 
arrangements; or in the defense, prosecu- 
tion, or settlement of cases. 
h. Scientific, architectural, or engineering 
standards, forms, or procedures, including 
design criteria and construction standards 
used to construct or maintain highways, 
bridges, or ferries, 
i. Job classification standards, job 
qualifications, and salaries established for 
positions under the jurisdiction of the State 
Personnel Commission. 
Establishment of the interest rate that 
applies to tax assessments under G.S. 
105-241.1 and the variable component of 
the excise tax on motor fuel under G.S. 
405-434 105-449.80 . 
(8b) "Substantial evidence" means relevant evidence 

a reasonable mind might accept as adequate to 

support a conclusion. 
(9) Repealed by Session Laws 1991, c. 418 s. 3, 

effective October 1, 1991. 
§ 150B-3. Special provisions on licensing. 

(a) When an applicant or a licensee makes a timely and 
sufficient application for issuance or renewal of a license or 
occupational license, including the payment of any required 
license fee, the existing license or occupational license does 
not expire until a decision on the application is finally made 
by the agency, and if the application is denied or the terms 
of the new license or occupational license are limited, until 
the last day for applying for judicial review of the agency 
order. This subsection does not affect agency action 
summarily suspending a license or occupational license 
under subsections (b) and (c) of this section. 

(b) Before the commencement of proceedings for the 
suspension, revocation, annulment, withdrawal, recall, 
cancellation, or amendment of any license other than an 
occupational license, the agency shall give notice to the 
licensee, pursuant to the provisions of G.S. 150B-23. 
Before the commencement of such proceedings involving an 
occupational license, the agency shall give notice pursuant 
to the provisions of G.S. 150B-38. In either case, the 
licensee shall be given an opportunity to show compliance 
with all lawful requirements for retention of the license or 
occupational license. 

(c) If the agency finds that the public health, safety, or 
welfare requires emergency action and incorporates this 
finding in its order, summary suspension of a license or 
occupational license may be ordered effective on the date 
specified in the order or on service of the certified copy of 
the order at the last known address of the licensee, 
whichever is later, and effective during the proceedings. 
The proceedings shall be promptly commenced and 
determined. 

Nothing in this subsection shall be construed as amending 



or repealing any special statutes, in effect prior to February 

1, 1976, which provide for the summary suspension of a 

license. 

§ 150B-4. Declaratory rulings. 

(a) On request of a person aggrieved, an agency shall 
issue a declaratory ruling as to the validity of a rule or as to 
the applicability to a given state of facts of a statute 
administered by the agency or of a rule or order of the 
agency, except when the agency for good cause finds 
issuance of a ruling undesirable. The agency shall prescribe 
in its rules the circumstances in which rulings shall or shall 
not be issued. A declaratory ruling is binding on the agency 
and the person requesting it unless it is altered or set aside 
by the court. An agency may not retroactively change a 
declaratory ruling, but nothing in this section prevents an 
agency from prospectively changing a declaratory ruling. 
A declaratory ruling is subject to judicial review in the same 
manner as an order in a contested case. Failure of the 
agency to issue a declaratory ruling on the merits within 60 
days of the request for such ruling shall constitute a denial 
of the request as well as a denial of the merits of the request 
and shall be subject to judicial review. 

(b) This section does not apply to the Department of 
Correction. 

Article 2. 

Rule Making. 

Repealed . 

Article 2A. 
Rules. 
Part 1 . General Provisions. 
§ 150B-18. Scope and effect. 

This Article applies to an agency's exercise of its authority 
to adopt a rule. A rule is not valid unless it is adopted in 
substantial compliance with this Article. 
§ 150B-19. Restrictions on what can be adopted as a 
rule. 

An agency may not adopt a rule that does one or more of 
the following: 

(1) Implements or interprets a law unless that law or 
another law specifically authorizes the agency to 
do so. 

(2) Enlarges the scope of a profession, occupation, 
or field of endeavor for which an occupational 
license is required. 

(3) Imposes criminal liability or a civil penalty for 
an act or omission, including the violation of a 
rule, unless a law specifically authorizes the 
agency to do so or a law declares that violation 
of the rule is a criminal offense or is grounds 
for a civil penalty. 

(4) Repeats the content of a law, a rule, or a federal 
regulation. 

(5) Establishes a reasonable fee or other reasonable 
charge for providing a service in fulfillment of 
a duty unless a law specifically authorizes the 
agency to do so or the fee or other charge is for 



1064 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



GENERAL STATUTES OF NORTH CAROLINA 



one of the following: 

a. A service to a State, federal, or local 
governmental unit. 

b. A copy of part or all of a State publication or 
other document, the cost of mailing a 
document, or both. 

c. A transcript of a public hearing. 

d. A conference, workshop, or course. 

e. Data processing services. 

(6) Allows the agency to waive or modify a 

requirement set in a rule unless a rule establishes 
specific guidelines the agency must follow in 
determining whether to waive or modify the 
requirement. 
§ 150B-20. Petitioning an agency to adopt a rule. 

(a) Petition. — A person may petition an agency to adopt 
a rule by submitting to the agency a written rule-making 
petition requesting the adoption. A person may submit 
written comments with a rule-making petition. If a 
rule-making petition requests the agency to create or amend 
a rule, the person must submit the proposed text of the 
requested rule change and a statement of the effect of the 
requested rule change. Each agency must establish by rule 
the procedure for submitting a rule-making petition to it and 
the procedure the agency follows in considering a 
rule-making petition. 

(b) Time. -- An agency must grant or deny a rule-making 
petition submitted to it within 30 days after the date the 
rule-making petition is submitted, unless the agency is a 
board or commission. If the agency is a board or 
commission, it must grant or deny a rule-making petition 
within 120 days after the date the rule-making petition is 
submitted. 

(c) Action. -- If an agency denies a rule-making petition, 
it must send the person who submitted the petition a written 
statement of the reasons for denying the petition. If an 
agency grants a rule-making petition, it must inform the 
person who submitted the rule-making petition of its 
decision and must initiate rule-making proceedings. When 
an agency grants a rule-making petition requesting the 
creation or amendment of a rule, the notice of rule making 
it publishes in the North Carolina Register may state that the 
agency is initiating rule-making proceedings as the result of 
a rule-making petition, state the name of the person who 
submitted the rule-making petition, set out the text of the 
requested rule change submitted with the rule-making 
petition, and state whether the agency endorses the proposed 
rule change. 

(d) Review. — Denial of a rule-making petition is a final 
agency decision and is subject to judicial review under 
Article 4 of this Chapter. Failure of an agency to grant or 
deny a rule-making petition within the time limits set in 
subsection (b) is a denial of the rule-making petition. 

(e) Exception. — This section does not apply to the 
Department of Correction. 

§ 150B-21. Agency must designate rule-making 

coord i nator, coordinator; duties of coordinator. 



{21 
(3) 



(4J 



(a) Each agency must designate one or more rule-making 
coordinators to oversee the agency's rule-making functions. 
The coordinator must pr e par e settees of publio hearings, 
coordinate access to the agency's rules, and shall serve as 
the liaison between the agency, other agencies, units of local 
government, and the public in the rule-making process. The 
coordinator shall report directly to the agency head. 

(b) The rule-making coordinator shall be responsible for 
the following: 

(1) Preparing notices of public hearings. 

Coordinating access to the agency's rules. 
Screening all proposed rule actions prior to 
publication in the North Carolina Register to 
assure that an accurate fiscal note has been 
completed as required by G.S. 150B-21.4fb). 
Consulting with the North Carolina Association 
of County Commissioners and the North 
Carolina League of Municipalities to determine 
which local governments would be affected by 
any proposed rule action. 

(5) Providing the North Carolina Association of 
County Commissioners and the North Carolina 
League of Municipalities with copies of aH fiscal 
notes required by G.S. 150B-2 1.4(h), prior to 
publication in the North Carolina Register of the 
proposed text of a permanent rule change. 

(6) Coordinating the submission of proposed rules to 
the Governor as provided by G.S. 150B-21.26. 

(c) At the earliest point in the rule-making process and in 
consultation with the North Carolina Association of County 
Commissioners, the North Carolina League of 
Municipalities, and with samples of county managers or city 
managers, as a ppropriate, the rule-making coordinator shall 
lead the agency's efforts in the development and drafting of 
any rules or rule changes that could: 

(1) Require any unit of local government, including 
a county, city, school administrative unit, or 
other local entity funded by or through a unit of 
local government to carry out additional or 
modified responsibilities; 

(2) Increase the cost of providing or delivering a 
public service funded in whole or in part by any 
unit of local government: or 

(3) Otherwise affect the expenditures or revenues of 
a unit of local government. 

(d) The rule-making coordinator shall send to the Office 
of State Budget and Management for compilation a copy of 
each final fiscal note prepared pursuant to G.S. 
150B-21.4(b). 

(e) The rule-making coordinator shall compile a schedule 
of the administrative rules and amendments expected to be 
proposed during the next fiscal year. The coordinator shall 
provide a copy of the schedule to the Office of State Budget 
and Management in a manner proposed by that Office. 

(f) Whenever an agency proposes a rule that is purported 
to implement a federal law, or required by or necessary for 
compliance with federal law, or on which the receipt of 



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1065 



GENERAL STATUTES OF NORTH CAROLINA 



federal funds is conditioned, the rule-making coordinator 
shall: 

(1) Attach to the proposed rule a certificate prepared 
by the rule-making coordinator identifying the 
federal law requiring adoption of the proposed 
rule. The certification shall contain a statement 
setting forth the reasons for why the proposed 
rule is required by law. If aU or part of the 
proposed rule is riot required by federal law or 
exceeds the requirements of federal law, then the 
certification shall state the reasons for that 
opinion. No comment or opinion shall be 
included in the certification with regard to the 
merits of the proposed rule; and 

(2) The rule-making coordinator shall maintain a 
copy of the federal law and shall provide to the 
Office of State Budget and Management for 
compilation the citation to the federal law 
requiring or pertaining to the proposed rule. 

Part 2. Adoption of Rules. 
§ 150B-21.1. Procedure for adopting a temporary 
rule. 

(a) Adoption. — An agency may adopt a temporary rule 
without prior notice or hearing or upon any abbreviated 
notice or hearing the agency finds practical when it finds 
that adherence to the notice and hearing requirements of this 
Part would be contrary to the public interest and that the 
immediate adoption of the rule is required by one or more 
of the following: 



(1) 
(2) 

(3) 

(4) 
(5) 

(6) 



A serious and unforeseen threat to the public 

health, safety, or welfare. 

The effective date of a recent act of the General 

Assembly or the United States Congress. 

A recent change in federal or State budgetary 

policy. 

A federal regulation. 

A court order. 

The need for the rule to become effective the 

same date as the State Medical Facilities Plan 

approved by the Governor, if the rule addresses 

a matter included in the State Medical Facilities 

Plan. 
An agency must prepare a written statement of its findings 
of need for a temporary rule. The statement must be signed 
by the head of the agency adopting the rule. 
— An ag e ncy — mu s t b e gin rul e making proceedings for a 
p e rmanent rul e by th e day it adopt s a t e mporary rul e . — Aft 
agency begins rule making proceeding s for a permanent ruie 
by submitting to the Codifier of Rules written notice of its 
int e nt to adopt a p e rman e nt rul e . 

(b) Review. — When an agency adopts a temporary rule 
it must submit the rule, rule and the agency's written 
statement of its findings of the need for the rule, and the 
notic e of int e nt to adopt a permane ftt rule to the Codifier of 
Rules. Within one business day after an agency submits a 
temporary rule, the Codifier of Rules must review the 
agency's written statement of findings of need for the rule 



to determine whether the statement of need meets the 
criteria listed in subsection (a). In reviewing the statement, 
the Codifier of Rules may consider any information 
submitted by the agency or another person. If the Codifier 
of Rules finds that the statement meets the criteria, the 
Codifier of Rules must notify the head of the agency and 
enter the rule in the North Carolina Administrative Code. 

If the Codifier of Rules finds that the statement does not 
meet the criteria, the Codifier of Rules must immediately 
notify the head of the agency. The agency may supplement 
its statement of need with additional findings or submit a 
new statement. If the agency provides additional findings or 
submits a new statement, the Codifier of Rules must review 
the additional findings or new statement within one business 
day after the agency submits the additional findings or new 
statement. If the Codifier of Rules again finds that the 
statement does not meet the criteria listed in subsection (a), 
the Codifier of Rules must immediately notify the head of 
the agency. 

If an agency decides not to provide additional findings or 
submit a new statement when notified by the Codifier of 
Rules that the agency's findings of need for a rule do not 
meet the required criteria, the agency must notify the 
Codifier of Rules of its decision. The Codifier of Rules 
must then enter the rule in the North Carolina 
Administrative Code on the sixth business day after 
receiving notice of the agency's decision. 

(c) Standing. — A person aggrieved by a temporary rule 
adopted by an agency may file an action for declaratory 
judgment in Wake County Superior Court pursuant to 
Article 26 of Chapter 1 of the General Statutes. In the 
action, the court shall determine whether the agency's 
written statement of findings of need for the rule meets the 
criteria listed in subsection (a) and whether the rule meets 
the standards in G.S. 150B-21.9 that apply to review of a 
permanent rule. The court may shall not grant an ex parte 
temporary restraining order. 

Filing a petition for rule making or a request for a 
declaratory ruling with the agency that adopted the rule is 
not a prerequisite to filing an action under this subsection. 
A person who files an action for declaratory judgment under 
this subsection must serve a copy of the complaint on the 
agency that adopted the rule being contested, the Codifier of 
Rules, and the Commission. 

(d) Effective Date and Expiration. — A temporary rule 
becomes effective on the date specified in G.S. 150B-21.3. 
A temporary rule expires on the earliest of the following 
dates' 

(i ) The date specified in the rule or 1 8 days from 
the date the rule become s effective, whichever 
oom e e first, rule. 

(2) The effective date of the permanent rule adopted 
to replace the temporary rule, if the Commission 
approves the permanent rule. 

(3) The date the Commission returns to an agency a 
permanent rule the agency adopted to replace the 
temporary rule, if the Commission objects to the 



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GENERAL STATUTES OF NORTH CAROLINA 



permanent rule, 
(e) Publication. — When the Codifier of Rules enters a 
temporary rule in the North Carolina Administrative Code, 
the Codifier must publish the rule in the North Carolina 
Register. Publication of a temporary rule in the North 
Carolina Register serves as a notice of rule-making 
proceedings for a permanent rule that does not differ 
substantially from the published temporary rule. 
§ 150B-21.2. Procedure for adopting a permanent 
rule. 

(a) Steps. — Before an agency adopts a permanent rule, 
it must take the following actions: 

(1) Publish a notice of rule-making proceedings in 

the North Carolina Register, unless the proposed 
rule is substantially the same as a temporary rule 
published in the North Carolina Register- 
When required by G.S. 150B-21.4, prepare or 
obtain a fiscal note for the proposed rule. 
Publish the text of the proposed rule in the 
North Carolina Register. 

When required by subsection (e) of this section, 
hold a public hearing on the proposed rule after 
publication of the proposed text of the rule. 
Accept oral or written comments on the 
proposed rule as required by subsection (f) of 
this section. 

Before an agonoy adopts a p e rman e nt rul e , it 
must publish notice of its intent to adopt a permanent rule 
in the North Carolina Register and as required by any other 
tew-. — The notio e publish e d in th e North Carolina R e gist e r 
must inolude all of th e following: 

(4^ Either the text of the proposed — rule or a 

statement of the subject matter of the proposod 
rul e making. 
-A — short explanation — of th e — reason — for th e 



ill 
Hi 
(4) 

(5} 
Notio e . 



-O)- 



-(&- 



proposod action. 

A citation to the law that gives the agonoy the 

authority to adopt th e proposod rule, if the 

notio e includ e s th e t e xt of th e propos e d rul e , or 

a citation to the law that gives the agency the 

authority to adopt a rule on the subject matter of 

th e propos e d rul e making, if th e notio e inoludos 

only a stat e m e nt of th e subjeot matt e r of the 

proposod rule making. 

The proposod effective date of the proposed 

rul e , — if th e notioe inoludos th e t e xt of the 



-W- 



-69- 



-m- 



proposed rulo, or th e proposed e ff e otiv e dat e of 

a rulo adoptod on the subject matter of the 

proposod rule making, if the notice inoludos only 

a stat e m e nt of the subj e ot matter of th e propos e d 

rul e making. 

The date, time, and plaoo of any public hearing 

s cheduled on the proposod rule or subject matter 

of th e proposod rul e making. 

Instructions on how a p e rson may demand a 

public hearing on a proposed rule if tho notice 

does — not schedule — a public — hearing — en — the 



proposed rule and subsection (c) requires tho 
ag e noy to hold a publio h e aring on th e proposod 
rul e wh e n r e qu e st e d to do so. 

f7) Tho period of time during which and tho person 

to whom written comments may bo submitted on 
th e propos e d rul e or subj e ot matt e r of tho 
proposod rul e making. 

(&) If a fiscal — note has boon — prepared — for the 

proposod rulo or will bo prepared whon a rulo is 
proposod on th e subj e ot matter of tho proposod 
rul e making, a stat e m e nt that a oopy of tho fiooal 
note can bo obtained from tho agonoy. 

(b) Notice of Rule-Making Proceedings. ~ A notice of 
rule-making proceedings published in the North Carolina 
Register must include all of the following: 

(1) A statement of the subject matter of the 
proposed rule making. 

(2) A short explanation of the reason for the 
proposed action. 

(3) A citation to the law that gives the agency the 
authority to adopt a rule on the subject matter of 
the proposed rule making. 

£4} The person to whom questions or written 

comments may be submitted on the subject 

matter of the proposed rule making. 

Publication in the North Carolina Register of an agency's 

rule-making agenda satisfies the requirements of this 

subsection if the agenda includes the information required by 

this subsection. 

(c) Text After Notice of Rule-Making Proceedings. — A 
notice of the proposed text of a rule must include all of the 
following: 

(1) The text of the proposed rule. 

(2) A short explanation of the reason for the 
proposed rule. 

(3) A citation to the law that gives the agency the 
authority to adopt the rule. 

(4) The proposed effective date of the rule. 

(5) The date, time, and place of any public hearing 
scheduled on the rule. 

(6) Instructions on how a person may demand a 
public hearing on a proposed rule if the notice 
does not schedule a public hearing on the 
proposed rule and subsection (e) of this section 
requires the agency to hold a public hearing on 
the proposed rule when requested to do sck 

(7) The period of time during which and the person 
to whom written comments may be submitted on 
the proposed rule. 

(8) If a fiscal note has been prepared for the rule, a 
statement that a copy of the fiscal note can be 
obtained from the agency. 

An agency shall not publish the proposed text of a rule 
until at least 60 days after the date the, notice of rule-making 
proceedings for the pro posed rule was published in the 
North Carolina Register. 

(¥) £d) Mailing List. — An agency must maintain a mailing 



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GENERAL STATUTES OF NORTH CAROLINA 



list of persons who have requested notice of rule making. 
When an agency publishes a rulo making notio e in the North 
Carolina Regist e r, Register a notice of rule-making 
proceedings or the text of a proposed rule, it must mail a 
copy of the notice or text to each person on the mailing list 
who has requested notice of rule-making proceedings on the 
rulo or th e subject matter for rule making described in the 
notice, notice or the rule affected. An agency may charge 
an annual fee to each person on the agency's mailing list to 
cover copying and mailing costs. 

(e) (e) Hearing. — An agency must hold a public hearing 
on a rule it proposes to adopt in two circumstances and may 
hold a public hearing in other circumstances. — When an 
agonoy is required to hold a public hearing on a propos e d 
rule or decides to hold a public h e aring on a propoGod rulo 
when it is not required to do so, the agency must publish in 
the North Carolina Register a notice of the date, time, and 
place of the public hearing. — Th e h e aring dat e of a public 
hearing held after the ag e ncy publish es notio e of th e hearing 
in the North Carolina Register must bo at least 15 days after 
the date the notice is published. 

An agency must hold a publio h e aring on a rul e it 
propos es to adopt in th e following two circumstanc e s: 

{4-) The agency publishes a statement of the subject 

matter of the proposed rulo making in the notice 
in the North Carolina R e gist e r. 
(5) T-he if the agency publishes the text of the 
proposed rule in the notic e in the North Carolina 
Register and all the following apply, 
a-r £1} The notice of rule-making proceedings 
does not schedule a public hearing on the 
proposed rule, 
br £2} Within — 1-5 — days — after — tho notice — is 
publish e d, th e The agency receives a written 
request for a public hearing on the proposed 
rule, rule within 15 days after the notice of 
rule-making proceedings is published. 

&: Th e proposed rul e i s not part of a rule making 

proceeding th e ag e ncy initiat e d by publishing 

a statement of tho subject matter of proposed 

rule making. 

dr (3J The proposed text is not a changed version 

of proposed text the agency previously 

published in the course of rule-making 

proceedings but did not adopt. 

An agency may hold a public hearing on a proposed rule 

in other circumstances. When an agency is required to hold 

a public hearing on a proposed rule or decides to hold a 

public hearing on a proposed rule when it is not required to 

do so, the agency must publish in the North Carolina 

Register a notice of the date, time, and place of the public 

hearing. The hearing date of a public hearing held after the 

agency publishes notice of the hearing in the North Carolina 

Register must be at least 15 days after the date the notice is 

published. 

(d) Text After Subject Matter Notice. When an agency 

publishes notice of the subject matter of propo s ed rule 



making in the North Carolina Register, it must subsequently 
publish in tho North Carolina R e gister tho t e xt of th e rule it 
proposes to adopt as a r e sult of th e publio hearing and of 
any comments received on the subject matter. — An agency 
may not publish the proposed text of a rule for which it 
publish e d a subj e ct matter notio e b e fore tho publio hearing 
on th e oubj e ot matt e r. 

te) £0 Comments. — An agency must accept comments on 
a notice of proposed rule-making proceedings published in 
the North Carolina Register until the text of the proposed 
rule that results from the notice is published. An agency 
must accept comments on the text of a proposed rule that is 
published in the North Carolina Register and that requires 
a fiscal note under G.S. 150B-21.4fbl) for at least 60 days 
after the text is published or until the date of any_ public 
hearing held on the proposed rule, whichever is longer. An 
agency must accept comments on the text of a any other 
proposed rule published in the North Carolina Register for 
at least 30 days after the text is published or until the date 
of any public hearing held on the proposed rule, whichever 
is longer, An agency must accept comments on a statement 
of th e subject matt e r of propos e d rul e making until tho 
publio h e aring on the subject matter. An agency must 
consider fully all written and oral comments received. 

(f) £g] Adoption - An agency may shall not adopt a rule 
until the time for commenting on the proposed text of the 
rule has elapsed and jaay shall not adopt a rule if more than 
12 months have elapsed since the end of the time for 
commenting on the proposed text of the rule. An agency 
may shall not adopt a rule that differs substantially from the 
text of a proposed rule published in the North Carolina 
Register unless the agency publishes the text of the proposed 
different rule in the North Carolina Register and accepts 
comments on the proposed different rule for the time set in 
subsection (e)r £f) of this section. 

An adopted rule differs substantially from a proposed rule 
if it does one or more of the following: 

(1) Affects the mterests of persons who, based on 
either the notice publish e d in th e North Carolina 
Register of rule-making proceedings or the pro- 
posed text of the rule, rule published in the 
North Carolina Register, could not reasonably 
have determined that the rule would affect their 
interests. 

(2) Addresses a subject matter or an issue that is not 
addressed in the proposed text of the rule. 

(3) Produces an effect that could not reasonably 
have been expected based on the proposed text 
of the rule. 

When an agency adopts a rule, it m&y shall not take 
subsequent action on the rule without following the 
procedures in this Part. 

fg} (hj_ Explanation. — An agency must issue a concise 
written statement explaining why the agency adopted a rule 
if, within 30 days after the agency adopts the rule, a person 
asks the agency to do so. The explanation must state the 
principal reasons for and against adopting the rule and must 



1068 



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10:13 



GENERAL STATUTES OF NORTH CAROLINA 



discuss why the agency rejected any arguments made or 
considerations urged against the adoption of the rule. 

(fr) £i] Record. — An agency must keep a record of a 
rule-making proceeding. The record must include all 
written comments received, a transcript or recording of any 
public hearing held on the rule, and any written explanation 
made by the agency for adopting the rule. 
§ 150B-21.3. Effective date of rules. 

(a) Temporary Rule. — A temporary rule becomes 
effective on the date the Codifier of Rules enters the rule in 
the North Carolina Administrative Code. 

(b) Permanent Rule. — A permanent rule approved by 
the Commission becomes effective five business days after 
tho Commiooion deliv e rs th e rul e to tho Codifi e r of Rul e s, 
unlooo the agonoy adopting the rul e Bp e oifi e a a later effectiv e 
date. If the agency specifie s a later effective date, tho rule 
becomes effective on that date, on the thirty-first legislative 
day of the next regular session of the General Assembly that 
begins at least 25 days after the date the Commission 
approved the rule, unless a later effective date applies under 
this subsection. If a bill that specifically disapproves the 
rule is introduced in either house of the General Assembly 
before the thirty-first legislative day of that session, the rule 
becomes effective on the earlier of either the day an 
unfavorable final action is taken on the bill or the day that 
session of the General Assembly adjourns without ratifying 
a bill that specifically disapproves the rule. If the agency 
adopting the rule specifies a later effective date than the date 
that would otherwise apply under this subsection, the later 
date applies. A permanent rule that is not approved by the 
Commission beoomoo e ff e ctiv e five buoinooo days aft e r th e 
agency adopting tho rule delivers tho rule to tho Codifier of 
Rules, unless tho agency adopting tho rule specifies a lator 
offootiv e date. — If tho ag e noy sp e cifies a lat e r e ff e ctiv e dat e . 
the — rule booomoo — e ff e otiv e — on that dat e . or that is 
specifically disapproved by a bill ratified by_ the General 
Assembly before it becomes effective does not become 
effective. 

A bill specifically disapproves a rule if it contains a 
provision that refers to the rule by appropriate North 
Carolina Administrative Code citation and states that the 
rule is disapproved. Notwithstanding any rule of either 
house of the General Assembly, any member of the General 
Assembly may introduce a bill during the first 30 legislative 
days of any regular session to disapprove a rule that has 
been approved by the Commission and that either has not 
become effective or has become effective by executive order 
under subsection (c) of this section. 

(c) Executive Order Exception. ~ The Governor may, by 
executive order, make effective a permanent rule that has 
been approved by the Commission and has not become 
effective under subsection (b) of this section upon finding 
that it is necessary that the rule become effective in order to 
protect public health, safety, or welfare. A rule made 
effective by executive order becomes effective on the date 
the order is issued or at a later date specified in the order. 
When the Codifier of Rules enters in the North Carolina 



Administrative Code a rule made effective by executive 
order, the entry must reflect this action. 

A rule that is made effective by executive order remains 
in effect unless it is specifically disapproved by the General 
Assembly in a bill ratified on or before the day of 
adjournment of die regular session of the General Assembly 
that begins at least 25 days after the date the executive order 
is issued. A rule that is made effective by executive order 
and that is specifically disapproved by a bill ratified by the 
General Assembly is repealed as of the date specified in the 
bill. If a rule that is made effective by executive order is 
not specifically disapproved by a bill ratified by the General 
Assembly within the time set by this subsection, the 
Codifier of Rules must note this in the North Carolina 
Administrative Code. 

£d) Legislative Day and Day of Adjournment. ~ As used 
in this section: 

(1) A 'legislative day' is a day on which either house 
of the General Assembly convenes in a regular 
session. 

(2) The 'day of adjournment' of a regular session 
held in an odd-numbered year is the day the 
General Assembly adjourns by joint resolution 
for more than 10 days. 

(3) The 'day of adjournment' of a regular session 
held in an even-numbered year is the day the 
General Assembly adjourns sine die. 

(e) (e) OSHA Standard. — A permanent rule concerning an 
occupational safety and health standard that is adopted by 
the Occupational Safety and Health Division of the 
Department of Labor and is identical to a federal regulation 
promulgated by the Secretary of the United States 
Department of Labor becomes effective on the date the 
Division delivers the rule to the Codifier of Rules, unless 
the Division specifies a later effective date. If the Division 
specifies a later effective date, the rule becomes effective on 
that date. 
§ 150B-21.4. Fiscal notes on rules. 

(a) State Funds. — Before an agency publishes in the 
North Carolina Register the proposed text of a permanent 
rule change that would require the expenditure or 
distribution of funds subject to the Executive Budget Act, 
Article 1 of Chapter 143, it must submit the text of the 
proposed rule change and a fiscal note on the proposed rule 
change to the Director of the Budget and obtain certification 
from the Director that the funds that would be required by 
the proposed rule change are available. The fiscal note 
must state the amount of funds that would be expended or 
distributed as a result of the proposed rule change and 
explain how the amount was computed. The Director of the 
Budget must certify a proposed rule change if funds are 
available to cover the expenditure or distribution required by 
the proposed rule change. 

(b) Local Funds. — Before an agency publishes in the 
North Carolina Register the proposed text of a permanent 
rule change that would affect the expenditures or revenues 
of a unit of local government, it must submit the text of the 



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GENERAL STATUTES OF NORTH CAROLINA 



proposed rule change and a fiscal note on the proposed rule 
change to the Office of the Governor as provided by G.S. 
150B-21.26, the Fiscal Research Division of the General 
Assembly, the Office of State Budget and Management, the 
North Carolina Association of County Commissioners, and 
the North Carolina League of Municipalities. The fiscal note 
must state the amount by which the proposed rule change 
would increase or decrease expenditures or revenues of a 
unit of local government and must explain how the amount 
was computed. 

fbl) Substantial Economic Impact. -- Before an agency 
publishes in the North Carolina Register the proposed text 
of a permanent rule change that would have a substantial 
economic impact and that is not identical to a federal 
regulation that the agency is required to adopt, the agency 
must obtain a fiscal note for the proposed rule change from 
the Office of State Budget and Management or prepare a 
fiscal note for the proposed rule change and have the note 
approved by that Office. If an agency requests the Office 
of State Budget and Management to prepare a fiscal note for 
a proposed rule change, that Office must prepare the note 
within 90 days after receiving a written request for the note. 
If the Office of State Budget and Management fails to 
prepare a fiscal note within this time period, the agency 
proposing the rule change may prepare a fiscal note. A 
fiscal note prepared in this circumstance does not require 
approval of the Office of State Budget and Management. 

If an agency prepares the required fiscal note, the agency 
must submit the note to the Office of State Budget and 
Management for review. The Office of State Budget and 
Management must review the fiscal note within 14 days 
after it is submitted and either approve the note or inform 
the agency in writing of the reasons why it does not a pprove 
the fiscal note. After addressing these reasons, the agency 
may submit the revised fiscal note to that Office for its 
review. If an agency is not sure whether a proposed rule 
change would have a substantial economic impact, the 
agency may ask the Office of State Budget and Management 
to determine whether the proposed rule change has a 
substantial economic impact. 

As used in this subsection, the term 'substantial economic 
impact' means an aggregate financial impact on all persons 
affected of at least five million dollars ($5,000.000) in a 
12-month period. 

fb2) Content. = A fiscal note required by subsection (1)1) 
of this section must contain the following: 

(1) A description of the persons who would be 
affected by the proposed rule change. 

(2) A description of the types of expenditures that 
persons affected by the proposed rule change 
would have to make to comply with the rule and 
an estimate of these expenditures. 

(3) A description of the purpose and benefits of the 
proposed rule change. 

(4) An explanation of how the estimate of 
expenditures was computed. 

(c) Errors. — An erroneous fiscal note prepared in good 



faith does not affect the validity of a rule. 

§ 150B-21.5. Circumstances when notice and 

rule-making hearing not required. 

(a) Amendment. — An agency is not required to publish 
a notice of rule making in the North Carolina Register or 
hold a public hearing when it proposes to amend a rule, 
without changing the substance of the rule, to do one of the 
following: 

(1) Reletter or renumber the rule or subparts of the 
rule. 

(2) Substitute one name for another when an 
organization or position is renamed. 

(3) Correct a citation in the rule to another rule or 
law when the citation has become inaccurate 
since the rule was adopted because of the repeal 
or renumbering of the cited rule or law. 

(4) Change information that is readily available to 
the public, such as an address or a telephone 
number. 

(5) Correct a typographical error mad e in e nt e ring 
th e rule in the North Carolina Administrative 
Code. 

(6) Change a rule in response to a request or an 
objection by the Commission. 

(b) Repeal — An agency is not required to publish a 
notice of rule making in the North Carolina Register or hold 
a public hearing when it proposes to repeal a rule as a result 
of any of the following: 

(1) The law under which the rule was adopted is 
repealed. 

(2) The law under which the rule was adopted or 
the rule itself is declared unconstitutional. 

(3) The rule is declared to be in excess of the 
agency's statutory authority. 

(c) OSHA Standard. ~ The Occupational Safety and 
Health Division of the Department of Labor is not required 
to publish a notice of rule making in the North Carolina 
Register or hold a public hearing when it proposes to adopt 
a rule that concerns an occupational safety and health stan- 
dard and is identical to a federal regulation promulgated by 
the Secretary of the United States Department of Labor. 
The Occupational Safety and Health Division is not required 
to submit to the Commission for review a rule for which 
notice and hearing is not required under this subsection. 

§ 150B-21.6. Incorporating material in a rule by 
reference. 

An agency may incorporate the following material by 
reference in a rule without repeating the text of the 
referenced material: 

(1) Another rule or part of a rule adopted by the 
agency. 

(2) All or part of a code, standard, or regulation 
adopted by another agency, the federal gov- 
ernment, or a generally recognized organization or 
association. 

(3) Material adopted to meet a requirement of the 
federal government. 



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In incorporating material by reference, the agency must 
designate in the rule whether or not the incorporation 
includes subsequent amendments and editions of the 
referenced material. The agency can change this 
designation only by a subsequent rule-making proceeding. 
The agency must have copies of the incorporated material 
available for inspection and must specify in the rule both 
where copies of the material can be obtained and the cost on 
the date the rule is adopted of a copy of the material. 

A statement in a rule that a rule incorporates material by 
reference in accordance with former G.S. 150B-14(b) is a 
statement that the rule does not include subsequent 
amendments and editions of the referenced material. A 
statement in a rule that a rule incorporates material by 
reference in accordance with former G.S. 150B-14(c) is a 
statement that the rule includes subsequent amendments and 
editions of the referenced material. 

§ 150B-21.7. Effect of transfer of duties or 

termination of agency on rules. 

When a law that authorizes an agency to adopt a rule is 
repealed and another law gives the same or another agency 
substantially the same authority to adopt a rule, the rule 
remains in effect until the agency amends or repeals the 
rule. When a law that authorizes an agency to adopt a rule 
is repealed and another law does not give the same or 
another agency substantially the same authority to adopt a 
rule, a rule adopted under the repealed law is repealed as of 
the date the law is repealed. 

When an executive order abolishes part or all of an agency 
and transfers a function of that agency to another agency, a 
rule concerning the transferred function remains in effect 
until the agency to which the function is transferred amends 
or repeals the rule. When an executive order abolishes part 
or all of an agency and does not transfer a function of that 
agency to another agency, a rule concerning a function 
abolished by the executive order is repealed 35 of the 
effective date of the executive order. 

The Director of Fiscal Research of the General Assembly 
must notify the Codifier of Rules when a rule is repealed 
under this section. When notified of a rule repealed under 
this section, the Codifier of Rules must enter the repeal of 
the rule in the North Carolina Administrative Code. 

Part 3. Review by Commission. 
§ 150B-21.8. Review of rule by Commission. 

(a) Temporary Rule. — The Commission does not review 
a temporary rule. 

(b) Permanent Rule. — An agency must submit a 
permanent rule adopted by it to the Commission before the 
rule can be included in the North Carolina Administrative 
Code. The Commission reviews a permanent rule in 
accordance with the standards in G.S. 150B-21.9 and 
follows the procedure in this Part in its review of a 
permanent rule. 

(c) Scope. — When the Commission reviews an 
amendment to a rule, it may review the entire rule that is 
being amended. The procedure in G.S. 150B-21. 12 applies 
when the Commission objects to a part of a rule that is 



within its scope of review but is not changed by a rule 

amendment. 

§ 150B-21.9. Standards and timetable for review by 

Commission. 

(a) Standards. — The Commission must determine 
whether a rule meets all of the following criteria: 

( 1 ) It is within the authority delegated to the agency 
by the General Assembly. 

(2) It is clear and unambiguous. 

(3) It is reasonably necessary to fulfill a duty 
delegated to the agency by the General 
Assembly. Assembly, when considered in light 
of the cumulative effect of all rules adopted by 
the agency related to the specific purpose for 
which the rule is proposed and the legislative 
intent of the General Assembly in delegating the 
duty. 

The Commission may determine if a rule submitted to it 
was adopted in accordance with Part 2 of this Article. The 
Commission may ask the Office of State Budget and 
Management to determine if a rule has a substantial 
economic impact and is therefore required to have a fiscal 
note. The Commission must ask the Office of State Budget 
and Management to make this determination if a fiscal note 
was not prepared for a rule and the Commission receives a 
written request for a determination of whether the rule has 
a substantial economic impact. 

The Commission must notify the agency that adopted the 
rule if it determines that a rule was not adopted in 
accordance with Part 2 of this Article and must return the 
rule to the agency. Entry of a rule in the North Carolina 
Administrative Code after review by the Commission is 
conclusive evidence that the rule was adopted in accordance 
with Part 2 of this Article. 

(b) Timetable. — The Commission must review a rule 
submitted to it on or before the twentieth of a month by the 
last day of the next month. The Commission must review 
a rule submitted to it after the twentieth of a month by the 
last day of the second subsequent month. 

§ 150B-21.10. Commission action on permanent rule. 
At the first meeting at which a permanent rule is before 
the Commission for review, the Commission must take one 
of the following actions: 

(1) Approve the rule, if the Commission determines 
that the rule meets the standards for review. 

(2) Object to the rule, if the Commission determines 
that the rule does not meet the standards for 
review. 

(3) Extend the period for reviewing the rule, if the 
Commission determines it needs additional 
information on the rule to be able to decide wheth- 
er the rule meets the standards for review. 

In reviewing a new rule or an amendment to an existing 
rule, the Commission may request an agency to make 
technical changes to the rule and may condition its approval 
of the rule on the agency's making the requested technical 
changes. 



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§ 150B-21.il. Procedure when Commission approves 
permanent rule. 

When the Commission approves a permanent rule, it must 
notify the agency that adopted the rule of the Commission's 
approval and must approval, deliver the approved rule to the 
Codifier of Rule s , Rules, and include the text of the 
approved rule and a summary of the rule in its next report 
to the Joint Legislative Administrative Procedure Oversight 
Committee. The Commission must deliver an approved rule 
by th e end of the month in which the Commission approved 
the rul e , unl e o o the ag e noy aoko th e Commiooion to d e lay the 
deliver) 1 of the rule. 

If the approved rule will increase or decrease expenditures 
or revenues of a unit of local government, the Commission 
must also notify the Governor of the Commission's a pproval 
of the rule and deliver a copy of the approved rule to the 
Governor by the end of the month in which the Commission 
approved the rule. 

§ 150B-21.12. Procedure when Commission objects to 
a permanent rule. 

(a) Action. — When the Commission objects to a 
permanent rule, it must send the agency that adopted the 
rule a written statement of the objection and the reason for 
the objection. The agency that adopted the rule must take 
one of the following actions: 

(1) Change the rule to satisfy the Commission's 
objection and submit the revised rule to the 
Commission. 

(2) Submit a written response to the Commission 
indicating that the agency has decided not to 
change the rule. 

£b} Time Limit. — An agency that is not a board or 
commission must take one of those the actions listed in 
subsection (a) of this section within 30 days after receiving 
the Commission's statement of objection. A board or 
commission must take one of these actions within 30 days 
after receiving the Commission's statement of objection or 
within 10 days after the board or commission's next regular- 
ly scheduled meeting, whichever comes later. 

(c) Changes. — When an agency changes a rule in 
response to an objection by the Commission, the 
Commission must determine whether the change satisfies the 
Commission's objection. If it does, the Commission must 
approve the rule. If it does not, the Commission must send 
the agency a written statement of the Commission's 
continued objection and the reason for the continued 
objection. 

(d) Return of Rule. — A rule to which the Commission 
has objected remains under review by the Commission until 
the agency that adopted the rule decides not to satisfy the 
Commission's objection and makes a written request to the 
Commission to return the rule to the agency. When the 
Commission returns a rule to which it has objected, it may 
se nd to th e Presid e nt of th e S e nat e and e ach m e mb e r of th e 
G e neral A s sembly a report of its obj e otion to th e rul e , must 
notify the Codifier of Rules of its action and must send a 
copy of the record of the Commission's review of the rule 



to the Joint Legislative Administrative Procedure Oversight 
Committee in its next report to that Committee. If the rule 
that is returned would have increased or decreased 
expenditures or revenues of a unit of local government, the 
Commission must also notify the Governor of its action and 
must send a copy of the record of the Commission's review 
of the rule to the Governor. The record of review consists 
of the rule, the Commission's letter of objection to the rule, 
the agency's written response to the Commission's letter, 
and any other relevant documents before the Commission 
when it de cided to object to the rule. 

fb-) — Entry in Code. When the Commission return s a 

rule to which it has objected to the agency that adopted the 
rul e , th e Commisoion must notify th e Codifi e r of Rul e s of 
ito action and of the basis of th e Commiooion's obj e otion. 
An agency whoso rule is returned may file the rule with the 
Codifier of Rules. — When the Codifier of Rules enters in the 
North Carolina Admini s trativ e Cod e a rul e to whioh the 
Commi ss ion — obj e ct e d, — the — e ntry — must — r e fl e ct — the 
Commission's objection and must state the standard on 
which the Commission based its objection. 
§ 150B-21.13. Procedure when Commission extends 
period for review of permanent rule. 

When the Commission extends the period for review of a 
permanent rule, it must notify the agency that adopted the 
rule of the extension and the reason for the extension. After 
the Commission extends the period for review of a rule, it 
may call a public hearing on the rule. Within 70 days after 
extending the period for review of a rule, the Commission 
must decide whether to approve the rule, object to the rule, 
or call a public hearing on the rule. 
§ 150B-21.14. Public hearing on a rule. 

The Commission may call a public hearing on a rule when 
it extends the period for review of the rule. At the request 
of an agency, the Commission may call a public hearing on 
a rule that is not before it for review. Calling a public 
hearing on a rule not already before the Commission for 
review places the rule before the Commission for review. 
When the Commission decides to call a public hearing on a 
rule, it must publish notice of the public hearing in the 
North Carolina Register. 

After a public hearing on a rule, the Commission must 
approve the rule or object to the rule in accordance with the 
standards and procedures in this Part. The Commission 
must make its decision of whether to approve or object to 
the rule within 70 days after the public hearing. 

§ 150B 21.15. Declaratory judgment action authorized 

when Commission objects to a permanent rule. 

— (a) Standing. A p e rson aggrieved by a p e rman e nt rul e 

entered in the North Carolina Administrative Code with an 
objection by the Commission based on a lack of statutory 
authority may fil e an aotion for d e claratory judgm e nt in 
Wak e County Sup e rior Court pursuant to Artiol e 26 of 
Chapter 1 of the General Statutes. — In the action, the court 
shall determine whether the agency exceeded its authority in 
adopting th e rul e . 

A d e clarator)' judgm e nt aotion und e r this s e ction must b e 



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filed within 90 days after tho rule that is tho oubjoct of tho 
aotion io enter e d in tho Cod e . — Filing a petition for rul e 
making or a roquoot for a d e olamtory ruling with th e ag e noy 
that adopted tho rule is not a prerequisite to filing an action 

under this section. A person who files an action for 

declarator)' judgment under this o e otion must s e rv e a copy 
of th e oomplaint on th e agenoy that adopt e d the rule being 
contested, tho Codifior of Rules, and tho Commission. 

(b) Record. Within — 10 days aftor a declaratory 

judgm e nt aotion is filed under this section, th e ag e noy that 
adopted tho rule that io tho subjeot of th e aotion must s e nd 
to tho court tho original or a certified copy of tho record in 
tho Commission's review of tho rule. — Tho record consists 
of tho rule, tho Commiooion's lottor of obj e otion to tho rul e , 
the ag e noy'o written r e sponse to th e Commiooion'e -tetter 
and any othor relevant documents before tho Commission 
whon it decided to object to tho rule. 

— (e) — Eff e ot. A rule r e mains in effect during th e 

pondonoy of an aotion for d e claratory judgm e nt und e r this 
section unless tho court suspends tho rule after finding that 
tho agency that adopted tho rule has no substantial likelihood 
of pr e vailing in th e aotion. 

(d) Changes. Whil e a rule is th e subj e ot of a d e claratory 

judgment action undor this section, tho agoncy that adopted 
tho rule may 3ubmit to tho Commission changes in tho rule 
to satisfy th e Commission's obj e otion. — If th e Commission 
determines that ohang e s submitt e d to it satisfy ito obj e otion, 
tho Commission must acoopt tho change s and file tho revised 
rule with tho Codifior of Rules. — Tho Codifior must then 
enter th e rul e in th e North Carolina Administrativ e Cod e - 
Wh e n tho Commission d e t e rmin e s that ohanges submitt e d to 
it satisfy its objeotion, tho agoncy that submitted tho changes 
must — notify — the — court — e# — the — changes — and — ef- — the 
Commission's aotion. 

£ 150B-21.16. Report to Joint Legislative 

Administrative Procedure Oversight Committee. 

The Commission must make monthly reports to the Joint 
Legislative Administrative Procedure Oversight Committee. 
The reports are due by the last day of the month. A report 
must include the rules approved by the Commission at its 
meeting held in the month in which the report is due and the 
rules the Commission returned to agencies during that 
month after the Commission objected to the rule. A report 
must include any other information requested by the Joint 
Legislative Administrative Procedure Oversight Committee. 
When the Commission sends a report to the Joint Legislative 
Administrative Procedure Oversight Committee, the 
Commission must send a copy of the report to the Codifier 
of Rules. 

Part 4. Publication of Code and Register. 
§ 150B-21.17. North Carolina Register. 

(a) Content. — The Codifier of Rules must publish the 
North Carolina Register. The North Carolina Register must 
be published at least two times a month and must contain 
the following: 

(1) Temporary rules entered in the North Carolina 
Administrative Code. 



ft) (la) Notices of proposed — adoptions 

rule-making proceedings, the text of rul e s. 
proposed rules, and the text of permanent rules 
a pproved by the Commission. 

(2) Notices of receipt of a petition for municipal 
incorporation, as required by G.S. 120-165. 

(3) Executive orders of the Governor. 

(4) Final decision letters from the United States 
Attorney General concerning changes in laws 
that affect voting in a jurisdiction subject to § 5 
of the Voting Rights Act of 1965, as required by 
G.S. 120-30.9H. 

(5) Orders of the Tax Review Board issued under 
G.S. 105-241.2. 

(6) Other information the Codifier determines to be 
helpful to the public. 

(b) Form. — When an agency publishes notice in the 
North Carolina Register of the proposed text of a new rule, 
the Codifier of Rules must publish the complete text of the 
proposed new rule. In publishing the text of a proposed 
new rule, the Codifier must indicate the rule is new by 
underlining the proposed text of the rule. 

When an agency publishes notice in the North Carolina 
Register of the proposed text of an amendment to an 
existing rule, the Codifier must publish the complete text of 
the rule that is being amended unless the Codifier 
determines that publication of the complete text of the rule 
being amended is not necessary to enable the reader to 
understand the proposed amendment. In publishing the text 
of a proposed amendment to a rule, the Codifier must 
indicate deleted text with overstrikes and added text with 
underlines. 

When an agency publishes notice in the North Carolina 
Register of the proposed repeal of an existing rule, the 
Codifier must publish the complete text of the rule the 
agency proposes to repeal unless the Codifier determines 
that publication of the complete text is impractical. In 
publishing the text of a rule the agency proposes to repeal, 
the Codifier must indicate the rule is to be repealed. 
§ 150B-21.18. North Carolina Administrative Code. 

The Codifier of Rules must compile all rules into a Code 
known as the North Carolina Administrative Code. The 
format and indexing of the Code must conform as nearly as 
practical to the format and indexing of the North Carolina 
General Statutes. The Codifier must publish printed copies 
of the Code and may publish the Code in other forms. The 
Codifier must keep the Code current by publishing the Code 
in a loose-leaf format and periodically providing new pages 
to be substituted for outdated pages, by publishing the Code 
in volumes and periodically publishing cumulative 
supplements, or by another means. The Codifier may 
authorize and license the private indexing, marketing, sales, 
reproduction, and distribution of the Code. The Codifier 
must keep superseded rules. 

§ 150B-21.19. Requirements for including rule in 
Code. 

To be acceptable for inclusion in the North Carolina 



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Administrative Code, a rule must: 

(1) Cite the law under which the rule is adopted. 

(2) Be signed by the head of the agency or the 
rule-making coordinator for the agency that adopt- 
ed the rule. 

(3) Be in the physical form specified by the Codifier 
of Rules. 

(4) Have been reviewed approved by the Commission. 
if the rule is a permanent rule. 

§ 150B-21.20. Codifier's authority to revise form of 
rules. 

(a) Authority. — After consulting with the agency that 
adopted the rule, the Codifier of Rules may revise the form 
of a rule submitted for inclusion in the North Carolina 
Administrative Code within 10 business days after the rule 
is submitted to do one or more of the following: 

(1) Rearrange the order of the rule in the Code or 
the order of the subsections, subdivisions, or 
other subparts of the rule. 

(2) Provide a catch line or heading for the rule or 
revise the catch line or heading of the rule 

(3) Reletter or renumber the rule or the subparts of 
the rule in accordance with a uniform system 

(4) Rearrange definitions and lists. 

(5) Make other changes in arrangement or in form 
that do not change the substance of the rule and 
are necessary or desirable for a clear and 
orderly arrangement of the rule. 

(b) Effect. — Revision of a rule by the Codifier of Rules 
under this section does not affect the effective date of the 
rule or require the agency to readopt or resubmit the rule. 
When the Codifier of Rules revises the form of a rule, the 
Codifier of Rules must send the agency that adopted the rule 
a copy of the revised rule. The revised rule is the official 
rule. 

§ 150B-21.21. Publication of rules of North Carolina 
State Bar and exempt agencies. 

(a) State Bar. — The North Carolina State Bar must 
submit a rule adopted or approved by it and entered in the 
minutes of the North Carolina Supreme Court to the 
Codifier of Rules for inclusion in the North Carolina 
Administrative Code. The State Bar must submit a rule 
within 15 days after it is entered in the minutes of the 
Supreme Court. The Codifier of Rules must compile, make 
available for public inspection, and publish a rule included 
in the North Carolina Administrative Code under this 
subsection in the same manner as other rules in the Code. 

(b) Exempt Agencies. — Notwithstanding G.S. 150B-1, 
the North Carolina Utilities Commission must submit to the 
Codifier of Rules those rules of the Utilities Commission 
that are published from time to time in the publication titled 
"North Carolina Utilities Laws and Regulations." The 
Utilities Commission must submit a rule required to be 
included in the Code within 15 days after it is adopted. The 
Codifier of Rules must publish the rules submitted by the 
Utilities Commission in the North Carolina Administrative 
Code in the same format as they are submitted. 



Notwithstanding G.S. 150B-1, an agency other than the 
Utilities Commission that is exempted from this Article by 
that statute must submit a temporary or permanent rule 
adopted by it to the Codifier of Rules for inclusion in the 
North Carolina Administrative Code. One of these exempt 
agencies must submit a rule to the Codifier of Rules within 
15 days after it adopts the rule. The Codifier of Rules must 
compile, make available for public inspection, and publish 
a rule of one of these agencies in the North Carolina 
Administrative Code in the same manner as other rules in 
the Code. 
§ 150B-21.22. Effect of inclusion in Code. 

Official or judicial notice can be taken of a rule in the 
North Carolina Administrative Code and shall be taken 
when appropriate. Codification of a rule in the North 
Carolina Administrative Code is prima facie evidence of 
compliance with this Article. 
§ 150B-21.23. Rule publication manual. 

The Codifier of Rules must publish a manual that sets out 
the form and method for publishing a notice of rule making 
in the North Carolina Register and for filing a rule in the 
North Carolina Administrative Code. 
§ 150B-21.24. Free copies of Register and Code. 

(a) Register. — The Codifier of Rules must distribute 
copies of the North Carolina Register as soon after 
publication as practical, without charge, to the following: 

(1) A person who receives a free copy of the North 
Carolina Administrative Code. 

(2) Upon request, one copy to each member of the 
General Assembly. 

(b) Code. — The Codifier of Rules must distribute copies 
of the North Carolina Administrative Code as soon after 
publication as practical, without charge, to the following: 

( 1) One copy to the board of commissioners of each 
county, to be placed at the county clerk of 
court's office or at another place selected by the 
board of commissioners. 

(2) One copy to the Commission. 

(3) One copy to the Clerk of the Supreme Court and 
to the Clerk of the Court of Appeals of North 
Carolina. 

(4) One copy to the Supreme Court Library and one 
copy to the library of the Court of Appeals. 

(5) One copy to the Administrative Office of the 
Courts. 

(6) One copy to the Governor. 

(7) Five copies to the Legislative Services 
Commission for the use of the General 
Assembly. 

(8) Upon request, one copy to each State official or 
department to whom or to which copies of the 
appellate division reports are furnished under 
G.S. 7A-343.1. 

(9) Five copies to the Division of State Library of 
the Department of Cultural Resources pursuant 
to G.S. 125-11.7. 

§ 150B-21.25. Paid copies of Register and Code. 



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A person who is not entitled to a free copy of the North 
Carolina Administrative Code or North Carolina Register 
may obtain a copy by paying a fee set by the Codifier of 
Rules. The Codifier must set separate fees for the North 
Carolina Register and the North Carolina Administrative 
Code in amounts that cover publication, copying, and 
mailing costs. All monies received under this section must 
be credited to the General Fund. 

Part 5^ Rules Affecting Local Governments. 
J 150B-21.26. Governor to conduct preliminary 

review of certain administrative rules. 

(a) Preliminary Review. — At least 30 days before an 
agency publishes in the North Carolina Register the 
proposed text of a permanent rule change that would affect 
the expenditures or revenues of a unit of local government, 
the agency must submit all of the following to the Governor 
for preliminary review: 

(1) The text of the proposed rule change. 

(2) A short explanation of the reason for the 
proposed change. 

(3) A fiscal note stating the amount by. which the 
proposed rule change would increase or decrease 
expenditures or revenues of a unit of local 
government and explaining how the amount was 
computed. 

(b) Scope. — The Governor's preliminary review of a 
proposed permanent rule change that would affect the 
expenditures or revenues of a unit of local government shall 
include consideration of the following: 

(1) The agency's explanation of the reason for the 
proposed change. 

(2) Any unanticipated effects of the proposed change 
on local government budgets. 

£3} The potential costs of the proposed change 
weighed against the potential risks to the public 
of not taking the proposed change. 
§ 150B-21.27. Minimizing the effects of rules on local 
budgets. 

In adopting permanent rules that would increase or 
decrease the expenditures or revenues of a unit of local 
government, the agency shall consider the timing for 
implementation of the proposed rule as part of the 
preparation of the fiscal note required by. G.S 
150B-21.4fb). If the computation of costs in a fiscal note 
indicates that the proposed rule change will disrupt the 
budget process as set out in the Local Government Budget 
and Fiscal Control Act, Article 3 of Chapter 159 of the 
General Statutes, the agency shall specify the effective date 
of the change as July 1 following the date the change would 
otherwise become effective under G.S. 150B-21.3. 
§ 150B-21.28. Role of the Office of State Budget and 
Management. 
The Office of State Budget and Management shall: 
(1) Compile an annual summary of the projected 

fiscal impact on units of local government of 
State administrative rules adopted during the 
preceding fiscal year. 



(2) Compile from information provided by each 
agency schedules of anticipated rule actions for 
the upcoming fiscal year. 

(3) Provide the Governor, the General Assembly, 
the North Carolina Association of County 
Commissioners, and the North Carolina League 
of Municipalities with a copy of the annual 
summary and schedules by no later than March 
1 of each year. 

Article 3. 
Administrative Hearings. 
§ 150B-22. Settlement; contested case. 

It is the policy of this State that any dispute between an 
agency and another person that involves the person's rights, 
duties, or privileges, including licensing or the levy of a 
monetary penalty, should be settled through informal proce- 
dures. In trying to reach a settlement through informal 
procedures, the agency may not conduct a proceeding at 
which sworn testimony is taken and witnesses may be 
cross-examined. If the agency and the other person do not 
agree to a resolution of the dispute through informal proce- 
dures, either the agency or the person may commence an 
administrative proceeding to determine the person's rights, 
duties, or privileges, at which time the dispute becomes a 
"contested case." 

§ 150B-23. Commencement; assignment of 

administrative law judge; hearing required; notice; 
intervention. 

(a) A contested case shall be commenced by filing a 
petition with the Office of Administrative Hearings and, 
except as provided in Article 3A of this Chapter, shall be 
conducted by that Office. The party who files the petition 
shall serve a copy of the petition on all other parties and, if 
the dispute concerns a license, the person who holds the 
license. A party who files a petition shall file a certificate 
of service together with the petition. A petition shall be 
signed by a party or a representative of the party and, if 
filed by a party other than an agency, shall state facts 
tending to establish that the agency named as the respondent 
has deprived the petitioner of property, has ordered the 
petitioner to pay a fine or civil penalty, or has otherwise 
substantially prejudiced the petitioner's rights and that the 
agency: 

(1) Exceeded its authority or jurisdiction; 

(2) Acted erroneously; 

(3) Failed to use proper procedure; 

(4) Acted arbitrarily or capriciously; or 

(5) Failed to act as required by law or rule. 

The parties in a contested case shall be given an 
opportunity for a hearing without undue delay. Any person 
aggrieved may commence a contested case hereunder. 

A local government employee, applicant for employment, 
or former employee to whom Chapter 126 of the General 
Statutes applies may commence a contested case under this 
Article in the same manner as any other petitioner. The 
case shall be conducted in the same manner as other 
contested cases under this Article, except that the State 



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Personnel Commission shall enter final decisions only in 
cases in which it is found that the employee, applicant, or 
former employee has been subjected to discrimination 
prohibited by Article 6 of Chapter 126 of the General 
Statutes or in any case where a binding decision is required 
by applicable federal standards. In these cases, the State 
Personnel Commission's decision shall be binding on the 
local appointing authority. In all other cases, the final 
decision shall be made by the applicable appointing 
authority. 

(al) Repealed by Session Laws 1985 (Reg. Sess., 1986) 
c. 1022. s. 1(9). 

(a2) An administrative law judge assigned to a contested, 
case may require a party to the case to file a prehearing 
statement. A parry's prehearing statement must be served 
on all other parties to the contested case. 

(b) The parties to a contested case shall be given a notice 
of hearing not less than 15 days before the hearing by the 
Office of Administrative Hearings. If prehearing statements 
have been filed in the case, the notice shall state the date, 
hour, and place of the hearing. If prehearing statements 
have not been filed in the case, the notice shall state the 
date, hour, place, and nature of the hearing, shall list the 
particular sections of the statutes and rules involved, and 
shall give a short and plain statement of the factual 
allegations. 

(c) Notice shall be given personally or by certified mail. 
If given by certified mail, it shall be deemed to have been 
given on the deliver>' date appearing on the return receipt 
If giving of notice cannot be accomplished either personally 
or by certified mail, notice shall then be given in the 
manner provided in G.S. 1A-1, Rule 4(jl). 

(d) Any person may petition to become a party by filing 
a motion to intervene in the manner provided in G.S. 1A-1, 
Rule 24. In addition, any person interested in a contested 
case may intervene and participate in that proceeding to the 
extent deemed appropriate by the administrative law judge. 

(e) Ail hearings under this Chapter shall be open to the 
public. Hearings shall be conducted in an impartial manner. 
Hearings shall be conducted according to the procedures set 
out in this Article, except to the extent and in the particulars 
that specific hearing procedures and time standards are 
governed by another statute. 

(f) Unless another statute or a federal statute or regulation 
sets a time limitation for the filing of a petition in contested 
cases against a specified agency, the general limitation for 
the filing of a petition in a contested case is 60 days. The 
time limitation, whether established by another statute, 
federal statute, or federal regulation, or this section, shall 
commence when notice is given of the agency decision to all 
persons aggrieved who are known to the agency by personal 
delivery or by the placing of the notice in an official 
depository of the United States Postal Service wrapped in a 
wrapper addressed to the person at the latest address given 
by the person to the agency. The notice shall be in writing, 
and shall set forth the agency action, and shall inform the 
persons of the right, the procedure, and the time limit to file 



a contested case petition. When no informal settlement 
request has been received by the agency prior to issuance of 
the notice, any subsequent informal settlement request shall 
not suspend the time limitation for the filing of a petition for 
a contested case hearing. 
§ 150B-23.1. Mediated settlement 
conferences. 

(a) Purpose. — This section authorizes a mediation 
program in the Office of Administrative Hearings in which 
the chief administrative law judge may require the parties in 
a contested case to attend a prehearing settlement conference 
conducted by a mediator. The purpose of the program is to 
determine whether a system of mediated settlement 
conferences may make the operation of the Office of 
Administrative Hearings more efficient, less costly, and 
more satisfying to the parties. 

(b) Definitions. — The following definitions apply in this 
section: 

(1) Mediated settlement conference. — A conference 
ordered by the chief administrative law judge 
involving the parties to a contested case and 
conducted by a mediator prior to a contested 
case hearing. 

(2) Mediator. — A neutral person who acts to 
encourage and facilitate a resolution of a 
contested case but who does not make a decision 
on the merits of the contested case. 

(c) Conference. — The chief administrative law judge may 
order a mediated settlement conference for all or any part of 
a contested case to which an administrative law judge is 
assigned to preside. All aspects of the mediated settlement 
conference shall be conducted in so far as possible in accor- 
dance with the rules adopted by the Supreme Court for the 
court-ordered mediation pilot program under G.S. 7A-38. 

(d) Attendance. — The parties to a contested case in 
which a mediated settlement conference is ordered, their 
attorneys, and other persons having authority to settle the 
parties' claims shall attend the settlement conference unless 
excused by the presiding administrative law judge. 

(e) Mediator. — The parties shall have the right to 
stipulate to a mediator. Upon the failure of the parties to 
agree within a time limit established by the presiding 
administrative law judge, a mediator shall be appointed by 
the presiding administrative law judge. 

(f) Sanctions. — Upon failure of a party or a party's 
attorney to attend a mediated settlement conference ordered 
under this section, the presiding administrative law judge 
may impose any sanction authorized by G.S. 150B-33(~b)(8) 
or (10). 

(g) Standards. — Mediators authorized to conduct 
mediated settlement conferences under this section shall 
comply with the standards adopted by the Supreme Court 
for the court -ordered mediation pilot program under G.S. 
7A-38. 

(h) Immunity. — A mediator acting pursuant to this 
section shall have judicial immunity in the same manner and 
to the same extent as a judge of the General Court of 



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Justice. 

(i) Costs. — Costs of a mediated settlement conference 
shall be paid one share by the petitioner, one share by the 
respondent, and an equal share by any intervenor, unless 
otherwise apportioned by the administrative law judge. 

(j) Inadmissibility of Negotiations. — All conduct or 
communications made during a mediated settlement 
conference are presumed to be made in compromise 
negotiations and shall be governed by Rule 408 of the North 
Carolina Rules of Evidence. 

(k) Right to Hearing. — Nothing in this section restricts 
the right to a contested case hearing. 
§ 150B-24. Venue of hearing. 

(a) The hearing of a contested case shall be conducted: 

(1) In the county in this State in which any person 
whose property or rights are the subject matter 
of the hearing maintains his residence; 

(2) In the county where the agency maintains its 
principal office if the property or rights that are 
the subject matter of the hearing do not affect 
any person or if the subject matter of the hearing 
is the property or rights of residents of more 
than one county; or 

(3) In any county determined by the administrative 
law judge in his discretion to promote the ends 
of justice or better serve the convenience of 
witnesses. 

(b) Any person whose property or rights are the subject 
matter of the hearing waives his objection to venue by 
proceeding in the hearing. 

§ 150B-25. Conduct of hearing; answer. 

(a) If a party fails to appear in a contested case after 
proper service of notice, and if no adjournment or 
continuance is granted, the administrative law judge may 
proceed with the hearing in the absence of the party. 

(b) Repealed by Session Laws 1991, c. 35, s. 2, effective 
October 1, 1991. 

(c) The parties shall be given an opportunity to present 
arguments on issues of law and policy and an opportunity to 
present evidence on issues of fact. 

(d) A party may cross-examine any witness, including the 
author of a document prepared by, on behalf of, or for use 
of the agency and offered in evidence. Any party may 
submit rebuttal evidence. 

§ 150B-26. Consolidation. 

When contested cases involving a common question of law 
or fact or multiple proceedings involving the same or related 
parties are pending, the Director of the Office of 
Administrative Hearings may order a joint hearing of any 
matters at issue in the cases, order the cases consolidated, 
or make other orders to reduce costs or delay in the 
proceedings. 
§ 150B-27. Subpoena. 

After the commencement of a contested case, subpoenas 
may be issued and served in accordance with G.S. 1A-1, 
Rule 45. In addition to the methods of service in G.S. 
1A-1, Rule 45, a State law enforcement officer may serve 



a subpoena on behalf of an agency that is a party to the 
contested case by any method by which a sheriff may serve 
a subpoena under that Rule. Upon a motion, the 
administrative law judge may quash a subpoena if, upon a 
hearing, the administrative law judge finds that the evidence 
the production of which is required does not relate to a 
matter in issue, the subpoena does not describe with 
sufficient particularity the evidence the production of which 
is required, or for any other reason sufficient in law the 
subpoena may be quashed. 

Witness fees shall be paid by the party requesting the 
subpoena to subpoenaed witnesses in accordance with G.S. 
7A-314. However, State officials or employees who are 
subpoenaed shall not be entitled to witness fees, but they 
shall receive their normal salary and they shall not be 
required to take any annual leave for the witness days. 
Travel expenses of State officials or employees who are 
subpoenaed shall be reimbursed as provided in G.S. 138-6. 
§ 150B-28. Depositions and discovery. 

(a) A deposition may be used in lieu of other evidence 
when taken in compliance with the Rules of Civil 
Procedure, G.S. 1A-1. Parties in contested cases may 
engage in discovery pursuant to the provisions of the Rules 
of Civil Procedure, G.S. 1A-1. 

(b) On a request for identifiable agency records, with 
respect to material facts involved in a contested case, except 
records related solely to the internal procedures of the 
agency or which are exempt from disclosure by law, an 
agency shall promptly make the records available to a party. 
§ 150B-29. Rules of evidence. 

(a) In all contested cases, irrelevant, immaterial and 
unduly repetitious evidence shall be excluded. Except as 
otherwise provided, the rules of evidence as applied in the 
trial division of the General Court of Justice shall be 
followed; but, when evidence is not reasonably available 
under the rules to show relevant facts, then the most reliable 
and substantial evidence available shall be admitted. On the 
judge's own motion, an administrative law judge may 
exclude evidence that is inadmissible under this section. It 
shall not be necessary for a party or his attorney to object 
at the hearing to evidence in order to preserve the right to 
object to its consideration by the administrative law judge in 
making a recommended decision, by the agency in making 
a final decision, or by the court on judicial review. 

(b) Evidence in a contested case, including records and 
documents, shall be offered and made a part of the record. 
Factual information or evidence not made a part of the 
record shall not be considered in the determination of the 
case, except as permitted under G.S. 150B-30. 
Documentary evidence may be received in the form of a 
copy or excerpt or may be incorporated by reference, if the 
materials so incorporated are available for examination by 
the parties. Upon timely request, a party shall be given an 
opportunity to compare the copy with the original if 
available. 

§ 150B-30. Official notice. 
Official notice may be taken of all facts of which judicial 



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notice may be taken and of other facts within the specialized 
knowledge of the agency. The noticed fact and its source 
shall be stated and made known to affected parties at the 
earliest practicable time, and any party shall on timely 
request be afforded an opportunity to dispute the noticed fact 
through submission of evidence and argument. 
§ 150B-31. Stipulations. 

(a) The parties in a contested case may, by a stipulation 
in writing filed with the administrative law judge, agree 
upon any fact involved in the controversy, which stipulation 
shall be used as evidence at the hearing and be binding on 
the parties thereto. Parties should agree upon facts when 
practicable. 

(b) Except as otherwise provided by law, disposition may 
be made of a contested case by stipulation, agreed 
settlement, consent order, waiver, default, or other method 
agreed upon by the parties. 

§ 150B-32. Designation of administrative law judge. 

(a) The Director of the Office of Administrative Hearings 
shall assign himself or another administrative law judge to 
preside over a contested case. 

(al) Repealed by Session Laws 1985 (Reg. Sess., 1986), 
c. 1022, s. 1 (15), effective July 15, 1986. 

(b) On the filing in good faith by a party of a timely and 
sufficient affidavit of personal bias or disqualification of an 
administrative law judge, the administrative law judge shall 
determine the matter as a part of the record in the case, and 
this determination shall be subject to judicial review at the 
conclusion of the proceeding. 

(c) When an administrative law judge is disqualified or it 
is impracticable for him to continue the hearing, the 
Director shall assign another administrative law judge to 
continue with the case unless it is shown that substantial 
prejudice to any party will result, in which event a new 
hearing shall be held or the case dismissed without 
prejudice. 

§ 150B-33. Powers of administrative law judge. 

(a) An administrative law judge shall stay any contested 
case under this Article on motion of an agency which is a 
party to the contested case, if the agency shows by 
supporting affidavits that it is engaged in other litigation or 
administrative proceedings, by whatever name called, with 
or before a federal agency, and this other litigation or 
administrative proceedings will determine the position, in 
whole or in part, of the agency in the contested case. At 
the conclusion of the other litigation or administrative 
proceedings, the contested case shall proceed and be 
determined as expeditiously as possible. 

(b) An administrative law judge may: 

(1) Administer oaths and affirmations; 

(2) Sign, issue, and rule on subpoenas in accordance 
with G.S. 150B-27 and G.S. 1A-1, Rule 45; 

(3) Provide for the taking of testimony by deposition 
and rule on all objections to discovery in 
accordance with G.S. 1A-1, the Rules of Civil 
Procedure; 

(3a) Rule on all prehearing motions that are 



authorized by G.S. 1A-1, the Rules of Civil 
Procedure; 

(4) Regulate the course of the hearings, including 
discovery, set the time and place for continued 
hearings, and fix the time for filing of briefs and 
other documents; 

(5) Direct the parties to appear and confer to 
consider simplification of the issues by consent 
of the parties; 

(6) Stay the contested action by the agency pending 
the outcome of the case, upon such terms as he 
deems proper, and subject to the provisions of 
G.S. 1A-1, Rule 65; 

(7) Determine whether the hearing shall be recorded 
by a stenographer or by an electronic device; 
and 

(8) Enter an order returnable in the General Court 
of Justice, Superior Court Division, to show 
cause why the person should not be held in 
contempt. The Court shall have the power to 
impose punishment as for contempt for any act 
which would constitute direct or indirect 
contempt if the act occurred in an action pending 
in Superior Court. 

(9) Determine that a rule as applied in a particular 
case is void because (1) it is not within the 
statutory authority of the agency, (2) is not clear 
and unambiguous to persons it is intended to 
direct, guide, or assist, or (3) is not reasonably 
necessary to enable the agency to fulfill a duty 
delegated to it by the General Assembly. 

(10) Impose the sanctions provided for in G.S. 1A-1 
or Chapter 3 of Title 26 of the North Carolina 
Administrative Code for noncompliance with 
applicable procedural rules. 

§ 150B-34. Recommended decision or order of 

administrative law judge. 

(a) Except as provided in G.S. 150B-36(c), in each 
contested case the administrative law judge shall make a 
recommended decision or order that contains findings of fact 
and conclusions of law. 

(b) Repealed by Session Laws 1991, c. 35, s. 6, effective 
October 1, 1991. 

§ 150B-35. No ex parte communication; exceptions. 

Unless required for disposition of an ex parte matter 
authorized by law, neither the administrative law judge 
assigned to a contested case nor a member or employee of 
the agency making a final decision in the case may 
communicate, directly or indirectly, in connection with any 
issue of fact, or question of law, with any person or party 
or his representative, except on notice and opportunity for 
all parties to participate. 
§ 150B-36. Final decision. 

(a) Before the agency makes a final decision, it shall give 
each party an opportunity to file exceptions to the decision 
recommended by the administrative law judge, and to 
present written arguments to those in the agency who will 



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make the final decision or order. If a party files in good 
faith a timely and sufficient affidavit of personal bias or 
other reason for disqualification of a member of the agency 
making the final decision, the agency shall determine the 
matter as a part of the record in the case, and the 
determination is subject to judicial review at the conclusion 
of the case. 

(b) A final decision or order in a contested case shall be 
made by the agency in writing after review of the official 
record as defined in G.S. 150B-37(a) and shall include 
findings of fact and conclusions of law. If the agency does 
not adopt the administrative law judge's recommended 
decision as its final decision, the agency shall state in its 
decision or order the specific reasons why it did not adopt 
the administrative law judge's recommended decision. The 
agency may consider only the official record prepared 
pursuant to G.S. 150B-37 in making a final decision or 
order, and the final decision or order shall be supported by 
substantial evidence admissible under G.S. 150B-29(a), 
150B-30, or 150B-31. A copy of the decision or order shall 
be served upon each party personally or by certified mail 
addressed to the party at the latest address given by the 
party to the agency, and a copy shall be furnished to his 
attorney of record and the Office of Administrative 
Hearings. 

(c) The following decisions made by administrative law 
judges in contested cases are final decisions: 

(1) A determination that the Office of 
Administrative Hearings lacks jurisdiction. 

(2) An order entered pursuant to the authority in 
G.S. 7A-759(e). 

(3) An order entered pursuant to a written 
prehearing motion that either dismisses the 
contested case for failure of the petitioner to 
prosecute or grants the relief requested when a 
party does not comply with procedural 
requirements. 

(4) An order entered pursuant to a prehearing 
motion to dismiss the contested case in 
accordance with G.S. 1A-1, Rule 12(b) when 
the order disposes of all issues in the contested 
case. 

§ 150B-37. Official record. 

(a) In a contested case, the Office of Administrative 
Hearings shall prepare an official record of the case that 
includes: 

(1) Notices, pleadings, motions, and intermediate 
rulings; 

(2) Questions and offers of proof, objections, and 
rulings thereon; 

(3) Evidence presented; 

(4) Matters officially noticed, except matters so 
obvious that a statement of them would serve no 
useful purpose; and 

(5) Repealed by Session Laws 1987, c. 878, s. 25, 
effective August 14, 1987. 

(6) The administrative law judge's recommended 



decision or order, 
(b) Proceedings at which oral evidence is presented shall 
be recorded, but need not be transcribed unless requested by 
a party. Each party shall bear the cost of the transcript or 
part thereof or copy of said transcript or part thereof which 
said party requests, and said transcript or part thereof shall 
be added to the official record as an exhibit. 

(c) The Office of Administrative Hearings shall forward 
a copy of the official record to the agency making the final 
decision and shall forward a copy of the recommended 
decision to each party. 

Article 3A. 

Other Administrative Hearings. 

§ 150B-38. Scope; hearing required; notice; venue. 

(a) The provisions of this Article shall apply to the 
following agencies: 

(1) Occupational licensing agencies; 

(2) The State Banking Commission, the 
Commissioner of Banks, the Savings Institutions 
Division of the Department of Commerce, and 
the Credit Union Division of the Department of 
Commerce; and 

(3) The Department of Insurance and the 
Commissioner of Insurance. 

(b) Prior to any agency action in a contested case, the 
agency shall give the parties in the case an opportunity for 
a hearing without undue delay and notice not less than 15 
days before the hearing. Notice to the parties shall include: 

(1) A statement of the date, hour, place, and nature 
of the hearing; 

(2) A reference to the particular sections of the 
statutes and rules involved; and 

(3) A short and plain statement of the facts alleged. 

(c) Notice shall be given personally or by certified mail. 
If given by certified mail, notice shall be deemed to have 
been given on the delivery date appearing on the return 
receipt. If notice cannot be given personally or by certified 
mail, then notice shall be given in the manner provided in 
G.S. 1A-1, Rule 4(jl). 

(d) A party who has been served with a notice of hearing 
may file a written response with the agency. If a written 
response is filed, a copy of the response must be mailed to 
all other parties not less than 10 days before the date set for 
the hearing. 

(e) All hearings conducted under this Article shall be 
open to the public. A hearing conducted by the agency shall 
be held in the county where the agency maintains its 
principal office. A i-iaring conducted for the agency by an 
administrative law judge requested under G.S. 150B-40 shall 
be held in a county in this State where any person whose 
property or rights are the subject matter of the hearing 
resides. If a different venue would promote the ends of 
justice or better serve the convenience of witnesses, the 
agency or the administrative law judge may designate 
another county. A person whose property or rights are the 
subject matter of the hearing waives his objection to venue 
if he proceeds in the hearing. 



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(f) Any person may petition to become a party by filing 
with the agency or hearing officer a motion to intervene in 
the manner provided by G.S. 1A-1, Rule 24. In addition, 
any person interested in a contested case under this Article 
may intervene and participate to the extent deemed 
appropriate by the agency hearing officer. 

(g) When contested cases involving a common question 
of law or fact or multiple proceedings involving the same or 
related parties are pending before an agency, the agency 
may order a joint hearing of any matters at issue in the 
cases, order the cases consolidated, or make other orders to 
reduce costs or delay in the proceedings. 

(h) Every agency shall adopt rules governing the conduct 
of hearings that are consistent with the provisions of this 
Article. 
§ 150B-39. Depositions; discovery; subpoenas. 

(a) A deposition may be used in lieu of other evidence 
when taken in compliance with the Rules of Civil 
Procedure, G.S. 1A-1. Parties in a contested case may 
engage in discovery pursuant to the provisions of the Rules 
of Civil Procedure, G.S. 1A-1. 

(b) Upon a request for an identifiable agency record 
involving a material fact in a contested case, the agency 
shall promptly provide the record to a party, unless the 
record relates solely to the agency's internal procedures or 
is exempt from disclosure by law. 

(c) In preparation for, or in the conduct of, a contested 
case subpoenas may be issued and served in accordance with 
G.S. 1A-1, Rule 45. Upon a motion, the agency may quash 
a subpoena if, upon a hearing, the agency finds that the 
evidence, the production of which is required, does not 
relate to a matter in issue, the subpoena does not describe 
with sufficient particularity the evidence the production of 
which is required, or for any other reason sufficient in law 
the subpoena may be quashed. Witness fees shall be paid by 
the party requesting the subpoena to subpoenaed witnesses 
in accordance with G.S. 7A-314. However, State officials 
or employees who are subpoenaed shall not be entitled to 
any witness fees, but they shall receive their normal salary 
and they shall not be required to take any annual leave for 
the witness days. Travel expenses of State officials or em- 
ployees who are subpoenaed shall be reimbursed as provided 
in G.S. 138-6. 

§ 150B-40. Conduct of hearing; presiding officer; ex 
parte communication. 

(a) Hearings shall be conducted in a fair and impartial 
manner. At the hearing, the agency and the parties shall be 
given an opportunity to present evidence on issues of fact, 
examine and cross-examine witnesses, including the author 
of a document prepared by, on behalf of or for the use of 
the agency and offered into evidence, submit rebuttal 
evidence, and present arguments on issues of law or policy. 

If a party fails to appear in a contested case after he has 
been given proper notice, the agency may continue the 
hearing or proceed with the hearing and make its decision 
in the absence of the party. 

(b) Except as provided under subsection (e) of this 



section, hearings under this Article shall be conducted by a 
majority of the agency. An agency shall designate one or 
more of its members to preside at the hearing. If a party 
files in good faith a timely and sufficient affidavit of the 
personal bias or other reason for disqualification of any 
member of the agency, the agency shall determine the 
matter as a part of the record in the case, and its 
determination shall be subject to judicial review at the 
conclusion of the proceeding. If a presiding officer is 
disqualified or it is impracticable for him to continue the 
hearing, another presiding officer shall be assigned to 
continue with the case, except that if assignment of a new 
presiding officer will cause substantial prejudice to any 
party, a new hearing shall be held or the case dismissed 
without prejudice. 

(c) The presiding officer may: 

(1) Administer oaths and affirmations; 

(2) Sign and issue subpoenas in the name of the 
agency, requiring attendance and giving of 
testimony by witnesses and the production of 
books, papers, and other documentary evidence; 

(3) Provide for the taking of testimony by 
deposition; 

(4) Regulate the course of the hearings, set the time 
and place for continued hearings, and fix the 
time for filing of briefs and other documents; 

(5) Direct the parties to appear and confer to 
consider simplification of the issues by consent 
of the parties; and 

(6) Apply to any judge of the superior court resident 
in the district or presiding at a term of court in 
the county where a hearing is pending for an 
order to show cause why any person should not 
be held in contempt of the agency and its 
processes, and the court shall have the power to 
impose punishment as for contempt for acts 
which would constitute direct or indirect 
contempt if the acts occurred in an action 
pending in superior court. 

(d) Unless required for disposition of an ex parte matter 
authorized by law, a member of an agency assigned to make 
a decision or to make findings of fact and conclusions of 
law in a contested case under this Article shall not 
communicate, directly or indirectly, in connection with any 
issue of fact or question of law, with any person or party or 
his representative, except on notice and opportunity for all 
parties to participate. This prohibition begins at the time of 
the notice of hearing. An agency member may 
communicate with other members of the agency and may 
have the aid and advice of the agency staff other than the 
staff which has been or is engaged in investigating or 
prosecuting functions in connection with the case under 
consideration or a factually-related case. This section does 
not apply to an agency employee or party representative 
with professional training in accounting, actuarial science, 
economics or financial analysis insofar as the case involves 
financial practices or conditions. 



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(e) When a majority of an agency is unable or elects not 
to hear a contested case, the agency shall apply to the 
Director of the Office of Administrative Hearings for the 
designation of an administrative law judge to preside at the 
hearing of a contested case under this Article. Upon receipt 
of the application, the Director shall, without undue delay, 
assign an administrative law judge to hear the case. 

The provisions of this Article, rather than the provisions 
of Article 3, shall govern a contested case in which the 
agency requests an administrative law judge from the Office 
of Administrative Hearings. 

The administrative law judge assigned to hear a contested 
case under this Article shall sit in place of the agency and 
shall have the authority of the presiding officer in a 
contested case under this Article. The administrative law 
judge shall make a proposal for decision, which shall 
contain proposed findings of fact and proposed conclusions 
of law. 

An administrative law judge shall stay any contested case 
under this Article on motion of an agency which is a party 
to the contested case, if the agency shows by supporting 
affidavits that it is engaged in other litigation or 
administrative proceedings, by whatever name called, with 
or before a federal agency, and this other litigation or 
administrative proceedings will determine the position, in 
whole or in part, of the agency in the contested case. At 
the conclusion of the other litigation or administrative 
proceedings, the contested case shall proceed and be 
determined as expeditiously as possible. 

The agency may make its final decision only after the 
administrative law judge's proposal for decision is served on 
the parties, and an opportunity is given to each party to file 
exceptions and proposed findings of fact and to present oral 
and written arguments to the agency. 
§ 150B-41. Evidence; stipulations; official notice. 

(a) In all contested cases, irrelevant, immaterial, and 
unduly repetitious evidence shall be excluded. Except as 
otherwise provided, the rules of evidence as applied in the 
trial division of the General Court of Justice shall be 
followed; but, when evidence is not reasonably available 
under such rules to show relevant facts, they may be shown 
by the most reliable and substantial evidence available. It 
shall not be necessary for a party or his attorney to object 
to evidence at the hearing in order to preserve the right to 
object to its consideration by the agency in reaching its 
decision, or by the court of judicial review. 

(b) Evidence in a contested case, including records and 
documents shall be offered and made a part of the record. 
Other factual information or evidence shall not be 
considered in determination of the case, except as permitted 
under G.S. 150B-30. Documentary evidence may be 
received in the form of a copy or excerpt or may be incor- 
porated by reference, if the materials so incorporated are 
available for examination by the parties. Upon timely 
request, a party shall be given an opportunity to compare 
the copy with the original if available. 

(c) The parties in a contested case under this Article by 



a stipulation in writing filed with the agency may agree 
upon any fact involved in the controversy, which stipulation 
shall be used as evidence at the hearing and be binding on 
the parties thereto. Parties should agree upon facts when 
practicable. Except as otherwise provided by law, 
disposition may be made of a contested case by stipulation, 
agreed settlement, consent order, waiver, default, or other 
method agreed upon by the parties. 

(d) Official notice may be taken of all facts of which 
judicial notice may be taken and of other facts within the 
specialized knowledge of the agency. The noticed fact and 
its source shall be stated and made known to affected parties 
at the earliest practicable time, and any party shall on timely 
request be afforded an opportunity to dispute the noticed fact 
through submission of evidence and argument. An agency 
may use its experience, technical competence, and 
specialized knowledge in the evaluation of evidence 
presented to it. 
§ 150B-42. Final agency decision; official record. 

(a) After compliance with the provisions of G.S. 
150B-40(e), if applicable, and review of the official record, 
as defined in subsection (b) of this section, an agency shall 
make a written final decision or order in a contested case. 
The decision or order shall include findings of fact and 
conclusions of law. Findings of fact shall be based 
exclusively on the evidence and on matters officially 
noticed. Findings of fact, if set forth in statutory language, 
shall be accompanied by a concise and explicit statement of 
the underlying facts supporting them. A decision or order 
shall not be made except upon consideration of the record 
as a whole or such portion thereof as may be cited by any 
party to the proceeding and shall be supported by substantial 
evidence admissible under G.S. 150B-41. A copy of the 
decision or order shall be served upon each party personally 
or by certified mail addressed to the party at the latest 
address given by the party to the agency and a copy shall be 
furnished to his attorney of record. 

(b) An agency shall prepare an official record of a 
hearing that shall include: 

(1) Notices, pleadings, motions, and intermediate 
rulings; 

(2) Questions and offers of proof, objections, and 
rulings thereon; 

(3) Evidence presented; 

(4) Matters officially noticed, except matters so 
obvious that a statement of them would serve no 
useful purpose; 

(5) Propose^ findings and exceptions; and 

(6) Any decision, opinion, order, or report by the 
officer presiding at the hearing and by the 
agency. 

(c) Proceedings at which oral evidence is presented shall 
be recorded, but need not be transcribed unless requested by 
a party. Each party shall bear the cost of the transcript or 
part thereof or copy of said transcript or part thereof which 
said party requests. 

Article 4. 



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GENERAL STATUTES OF NORTH CAROLINA 



Judicial Review. 



§ 150B-43. Right to judicial review. 

Any person who is aggrieved by the final decision in a 
contested case, and who has exhausted all administrative 
remedies made available to him by statute or agency rule, 
is entitled to judicial review of the decision under this 
Article, unless adequate procedure for judicial review is 
provided by another statute, in which case the review shall 
be under such other statute. Nothing in this Chapter shall 
prevent any person from invoking any judicial remedy 
available to him under the law to test the validity of any 
administrative action not made reviewable under this 
Article. 

§ 150B-44. Right to judicial intervention when 

decision unreasonably delayed. 

Unreasonable delay on the part of any agency or 
administrative law judge in taking any required action shall 
be justification for any person whose rights, duties, or 
privileges are adversely affected by such delay to seek a 
court order compelling action by the agency or 
administrative law judge. An agency that is subject to 
Article 3 of this Chapter and is not a board or commission 
has 90 days from the day it receives the official record in a 
contested case from the Office of Administrative Hearings 
to make a final decision in the case. This time limit may be 
extended by the parties or, for good cause shown, by the 
agency for an additional period of up to 90 days. An 
agency that is subject to Article 3 of this Chapter and is a 
board or commission has 90 days from the day it receives 
the official record in a contested case from the Office of 
Administrative Hearings or 90 days after its next regularly 
scheduled meeting, whichever is longer, to make a final 
decision in the case. This time limit may be extended by 
the parties or, for good cause shown, by the agency for an 
additional period of up to 90 days. If an agency subject to 
Article 3 of this Chapter has not made a final decision 
within these time limits, the agency is considered to have 
adopted the administrative law judge's recommended 
decision as the agency's final decision. Failure of an 
agency subject to Article 3A of this Chapter to make a final 
decision within 180 days of the close of the contested case 
hearing is justification for a person whose rights, duties, or 
privileges are adversely affected by the delay to seek a court 
order compelling action by the agency or, if the case was 
heard by an administrative law judge, by the administrative 
law judge. 
§ 150B-45. Procedure for seeking review; waiver. 

To obtain judicial review of a final decision under this 
Article, the person seeking review must file a petition in the 
Superior Court of Wake County or in the superior court of 
the county where the person resides. 
The person seeking review must file the petition within 30 
days after the person is served with a written copy of the 
decision. A person who fails to file a petition within the 
required time waives the right to judicial review under this 
Article. For good cause shown, however, the superior court 



may accept an untimely petition. 

§ 150B-46. Contents of petition; copies served on all 

parties; intervention. 

The petition shall explicitly state what exceptions are taken 
to the decision or procedure and what relief the petitioner 
seeks. Within 10 days after the petition is filed with the 
court, the party seeking the review shall serve copies of the 
petition by persona] service or by certified mail upon all 
who were parties of record to the administrative 
proceedings. Names and addresses of such parties shall be 
furnished to the petitioner by the agency upon request. Any 
party to the administrative proceeding is a party to the 
review proceedings unless the party withdraws by notifying 
the court of the withdrawal and serving the other parties 
with notice of the withdrawal. Other parties to the 
proceeding may file a response to the petition within 30 
days of service. Parties, including agencies, may state 
exceptions to the decision or procedure and what relief is 
sought in the response. 

Any person aggrieved may petition to become a party by 
filing a motion to intervene as provided in G.S. 1A-1, Rule 
24. 

§ 150B-47. Records filed with clerk of superior court; 
contents of records; costs. 

Within 30 days after receipt of the copy of the petition for 
review, or within such additional time as the court may 
allow, the agency that made the final decision in the 
contested case shall transmit to the reviewing court the 
original or a certified copy of the official record in the 
contested case under review together with: (i) any 
exceptions, proposed findings of fact, or written arguments 
submitted to the agency in accordance with G.S. 
150B-36(a); and (ii) the agency's final decision or order. 
With the permission of the court, the record may be 
shortened by stipulation of all parties to the review 
proceedings. Any party unreasonably refusing to stipulate 
to limit the record may be taxed by the court for such addi- 
tional costs as may be occasioned by the refusal. The court 
may require or permit subsequent corrections or additions to 
the record when deemed desirable. 
§ 150B-48. Stay of decision. 

At any time before or during the review proceeding, the 
person aggrieved may apply to the reviewing court for an 
order staying the operation of the administrative decision 
pending the outcome of the review. The court may grant or 
deny the stay in its discretion upon such terms as it deems 
proper and subject to the provisions of G.S. 1A-1, Rule 65. 
§ 150B-49. New evidence. 

An aggrieved person who files a petition in the superior 
court may apply to the court to present additional evidence. 
If the court is satisfied that the evidence is material to the 
issues, is not merely cumulative, and could not reasonably 
have been presented at the administrative hearing, the court 
may remand the case so that additional evidence can be 
taken. If an administrative law judge did not make a 



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GENERAL STATUTES OF NORTH CAROLINA 



recommended decision in the case, the court shall remand 
the case to the agency that conducted the administrative 
hearing. After hearing the evidence, the agency may affirm 
or modify its previous findings of fact and final decision. 
If an administrative law judge made a recommended 
decision in the case, the court shall remand the case to the 
administrative law judge. After hearing the evidence, the 
administrative law judge may affirm or modify his previous 
findings of fact and recommended decision. The administra- 
tive law judge shall forward a copy of his decision to the 
agency that made the final decision, which in turn may 
affirm or modify its previous findings of fact and final 
decision. The additional evidence and any affirmation or 
modification of a recommended decision or final decision 
shall be made part of the official record. 
§ 150B-50. Review by superior court without jury. 

The review by a superior court of agency decisions under 
this Chapter shall be conducted by the court without a jury. 
§ 150B-51. Scope of review. 

(a) Initial Determination in Certain Cases. In reviewing 
a final decision in a contested case in which an 
administrative law judge made a recommended decision, the 
court shall make two initial determinations. First, the court 
shall determine whether the agency heard new evidence after 
receiving the recommended decision. If the court 
determines that the agency heard new evidence, the court 
shall reverse the decision or remand the case to the agency 
to enter a decision in accordance with the evidence in the 
official record. Second, if the agency did not adopt the 
recommended decision, the court shall determine whether 
the agency's decision states the specific reasons why the 
agency did not adopt the recommended decision. If the 



court determines that the agency did not state specific 
reasons why it did not adopt a recommended decision, the 
court shall reverse the decision or remand the case to the 
agency to enter the specific reasons. 

(b) Standard of Review. After making the 
determinations, if any, required by subsection (a), the court 
reviewing a final decision may affirm the decision of the 
agency or remand the case for further proceedings. It may 
also reverse or modify the agency's decision if the 
substantial rights of the petitioners may have been 
prejudiced because the agency's findings, inferences, 
conclusions, or decisions are: 

(1) In violation of constitutional provisions; 

In excess of the statutory authority or 

jurisdiction of the agency; 

Made upon unlawful procedure; 

Affected by other error of law; 

Unsupported by substantial evidence admissible 

under G.S. 150B-29(a), 150B-30, or 150B-31 in 

view of the entire record as submitted; or 

Arbitrary or capricious. 
§ 150B-52. Appeal; stay of court's decision. 

A party to a review proceeding in a superior court may 
appeal to the appellate division from the final judgment of 
the superior court as provided in G.S. 7A-27. Pending the 
outcome of an appeal, an appealing party may apply to the 
court that issued the judgment under appeal for a stay of 
that judgment or a stay of the administrative decision that is 
the subject of the appeal, as appropriate. 
Article 5. 

Publication of Administrative Rules. 
Repealed. 



(2) 

(3) 
(4) 
(5) 



(6) 



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IN ADDITION 



This Section contains public notices that are required to be published in the Register or have been approved by the 
Codifier of Rules for publication. 



i 



DLP:GS:RA:emr 
DJ 166-012-3 
95-1826 



U.S. Department of Justice 

Civil Rights Division 

Voting Section 

P.O. Box 66128 

Washington, D.C. 20035-6128 



August 22, 1995 

Robert W. Oast, Jr., Esq. 

County Attorney 

P.O. Box 7207 

Greenville, North Carolina 27835-7207 

Dear Mr. Oast: 

This refers to the nine annexations (Ordinance Nos. 94-19, 25, 26, 36, 38, 41, and 45 to 47) and their designation 
to districts of the City of Greenville in Pitt County, North Carolina, submitted to the Attorney General pursuant to Section 
5 of the Voting Rights Act, 42 U.S.C. 1973c. We received your submission on June 23, 1995. 

The Attorney General does not interpose any objection to the specified changes. However, we note that Section 
5 expressly provides that the failure of the Attorney General to object does not bar subsequent litigation to enjoin the 
enforcement of the changes. See the Procedures for the Administration of Section 5 (28 C.F.R. 51.41). 



Sincerely, 

Deval L. Patrick 

Assistant Attorney General 

Civil Rights Division 



By: 



Elizabeth Johnson 
Acting Chief, Voting Section 



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PROPOSED RULES 



TITLE 10 - DEPARTMENT OF 
HUMAN RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Director of the Division of Mental 
Health, Developmental Disabilities and Substance Abuse 
Services and the Commission for Mental Health, 
Developmental Disabilities and Substance Abuse Services 
intends to adopt rules cited as 10 NCAC 14V .0101 - .0104, 
.0201 - .0208, .0301 - .0304, .0401 - .0405, .0501 - .0505, 
.0601 - .0607, .0701 - .0713, .0801 - .0805, .1101 - .1103, 
.1201 - .1203, .1301 - .1304, .1401 - .1403, 1501 - 1504, 
.2101 - .2104, .2201 - .2204, .2301 - .2306, .2401 - .2404, 
.2501 - .2505, .3101 - .3103, .3201 - .3203, .3301 - .3303, 
.3401 - .3403, .3501 - .3503, .3601 - .3604, .3701 - .3703, 
.3801 - .3803, .3901 - .3903, .4001 - .4003, .4101 - .4104, 
.4201 - .4203, .5001 - .5003, .5101 - .5104, .5201 - .5204, 
.5301 - .5303, .5401 - 5403, .5501 - .5503, .5601 - .5603, 
.5701 - .5703, .5801 - .5804, .5901 - .5903, .6001 - .6003 
.6101 - .6103, .6201 - .6202, .6301 - .6303, .6401 - .6403. 
.6501 - .6503, .6601 - .6603, .6701 - .6702, .6801 - .6802, 
.6901 - .6903. 

Proposed Effective Date: May 1, 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
November 13, 1995 at the Brownestone Hotel, 1707 
Hillsborough Street, Raleigh, NC 27605, (Phone- 919-828- 
0811). 

Reason for Proposed Action: These Rules were originally 
published in Volume 10, Issue 7 of the North Carolina 
Register (July, 1995) and are being republished to indicate 
changes that have been incorporated based on comments 
received before and during the public hearing on August 7, 
1995. 

Please Note: Underlining reflects new content, and 
overstriking reflects content which has been deleted. The 
entire set of proposed rules are being republished for the 
convenience of the reader. 

Comment Procedures: Any interested person may present 
comments by oral presentation or submitting a written 
statement. Persons wishing to make oral presentations 
should contact Charlotte Tucker, Division of Mental Health, 
Developmental Disabilities and Substance Abuse Services, 
325 N. Salisbury Street, Raleigh, NC 27603, (919) 
733-4774. Written comments will be accepted through 
November 12, 1995, and must state the rules to which the 
comments are addressed. These comments should be sent to 
Charlotte Tucker at the above address. Please provide 35 
copies of the comments for distribution at the hearing. Time 
limits for oral remarks may be imposed at the hearing. 
Fiscal information regarding these Rules is available from 
the Division upon request. 

Fiscal Note: These Rules do not affect the expenditures or 



revenues of local government or state funds. 

CHAPTER 14 - MENTAL HEALTH: GENERAL 

SUBCHAPTER 14V - RULES FOR MENTAL 

HEALTH, DEVELOPMENTAL DISABILITES, 

AND SUBSTANCE ABUSE FACILITIES AND 

SERVICES 

SECTION .0100 - GENERAL INFORMATION 

.0101 SCOPE 

(a) This Subchapter sets forth Rules for mental health, 
developmental disability and substance abuse services, the 
facilities and oontmot agencies providing such services, and 
the area programs administering such services within the 
scope of G.S. 122C. 

(b) These Rules and the applicable statutes govern 
licensing of facilities and accreditation of programs and 
services. 

(1) Facilities are licensed by the Division of 
Facilities Services (DFS) in accordance with 
G.S. 122 and these Rules. Licensable facilities 
as defined in G.S. 122C-3 shall comply with 
these Rules to receive and maintain the licenses 
required by the statute. 

(2) Area programs are accredited by the Division of 
Mental Health, Developmental Disability, and 
Substance Abuse Services (DMH/DD/SAS) to 
provide services on a o e rvio e by oervioe basis in 
accordance with these Rules. Area programs 
and their contract agoncioa shall comply with the 
Rules to maintain accreditation of their programs 
and services. 

(c) Unless otherwise provided in these Rul e s, Exo e pt as 
provided in Paragraph (d) of this Rule, when a facility or 
area program contracts with a person to provide services 
within the scope of these Rules, the facility or area program 
shall require that the contract services be provided in 
accordance with these Rules, and that the service provider 
be licensed if it is a licensable facility, or accredited by the 
ar e a program if it is a oontraot agenoy providing area 
program sorvioos . 

(d) Foe for service contracts with an individual or group 
of individuals licensed under other provisions of state law do 
not r e quir e lio e noing or accr e ditation under this section, 
however, — the — oontraoto — shall spooify — that — o e rvio e o — be 
documented as required by these Rules. 

(d) These Rules are organized in the following manner: 

(1) General Rules governing mental health, 
developmental disability and substance abuse 
services are contained in Sections .0100 through 
.0900. These Rules are "core" Rules that, 
unless otherwise specified, apply to all programs 
and facilities. 

(2) Service-specific Rules are contained in Sections 
.1000 through .6900. Generally, Rules related 



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1085 



PROPOSED RULES 



(A) 
(B) 
(Q 
(D) 



to service-specific 

grouped: 
.1000 - .1900: 
.2000 - .2900: 
.3000 - .4900: 
.5000 - .6900: 



facilities and services are 



Mental Health 
Developmental Disabilities 
Substance Abuse 

Services and Facilities for 
More Than One Disability. 
(3) Service-specific Rules may modify or expand the 
requirements of core Rules, 
(e) Failure to comply with these Rules shall be grounds 
for DFS to deny or revoke a license or for DMH/DD/SAS 
to deny or revoke area program service accreditation. 



Statutory Authority G.S. 
143B-147. 



122C-23; 122C-24; 122C-26; 



.0102 COPIES OF RULES 

Copies of these Rules are available from DMH/DD/SAS 
at a price to cover printing, handling and postage. 

Statutory Authority G.S. 122C-23; 122C-24; 122C-26; 
143B-147. 

.0103 GENERAL DEFINITIONS 

(a) This Rule contains definitions that apply to all of the 
Rules in this Subchapter. 

(b) Unless otherwise indicated, the following terms shall 
have the meanings specified: 

(1) "Accreditation" means the authorization granted 
to an area program by DMH/DD/SAS, as a 
result of demonstrated compliance with the 
standards established in these Rules, to provide 
specified services, designation given a service by 
DMH/DD/SAS, — as — &fea — program, — &r — as 

approv e d accr e ditation body, indicating 

compliance with the s tandards for accreditation 
established in those Rules. 

(2) "Administering medication" means direct 
application of a drug to the body of a client by 
injection, inhalation, ingestion, or any other 
means. 

(3) "Adolescent" means a minor from 13 through 17 
years of age. 

(4) "Adult" means a person 18 years of age or older 
or a person under 18 years of age who has been 
married or who has been emancipated by a court 
of competent jurisdiction or is a member of the 
armed forces. 

(5) "Alcohol abuse" means psychoactive substance 
abuse which is a residual category for noting 
maladaptive patterns of psychoactive substance 
use that have never met the criteria for 
dependence for that particular class of substance 
and which continues despite adverse 
consequences. The criteria for alcohol abuse 
delineated in the DSM IV published by the 
American — Psychiatric — Association, — 1400 — K 



Street, N.W., Washington, D.C. 20005 at a cost 
of thirty nin e dollars and nin e ty five oonto 
($39.95) for the soft cov e r e dition and fifty four 
dollars and ninety five oonts ($5 4 .95) — for the 
hard cover edition, is incorporated by reference. 
This incorporation by r e f e r e no e do e o not inoludo 
subs e quent amendm e nts and e ditions of the 
referenced material. 

(6) "Alcohol dependence" means psychoactive 
substance dependence which is a cluster of 
cognitive behavioral, and physiologic symptoms 
that indicate that a person has impaired control 
of psychoactive substance use and continues use 
of the substance despite adverse consequences. 
The criteria for alcohol dependence delineated in 
the DSM IV — published — by — the — American 
P s ychiatric Association, 1 4 00 K Street, N.W., 
Washington, D.C. 20005 at a ooot of thirty a tae 
dollars and nin e ty fiv e o e nts ($39.95) — for th e 
soft cover odition and fifty four dollar s and 
ninety fivo oonts ($5 4 .95) fop the hard cover 

e dition is incorporated by reference. This 

incorporation by r e f e renoe — does not inoludo 
s ubsequent — amendments — and editions of the 
referenced material. 

(7) "Area program" means a legally constituted 
public agency providing mental health, 
developmental disabilities and substance abuse 
services for a catchment area designated by the 
commission. For purposes of these Rules, the 
term "area program" means the same as "area 
authority" as defined in G.S. 122C-3. 

(8) "Assessment" means a procedure for 
determining the nature and extent of the need 
for which the individual is seeking service. 

(9) "Child" means a minor from birth through 12 
years of age. 

(10) "Children and adolescents with emotional 
disturbance" means minors from birth through 
17 years of age who have behavioral, mental, or 
emotional problems which are severe enough to 
significantly impair their ability to function at 
home, in school, or in community settings. 

(11) "Client" means the same as defined in G.S. 
122C-3. When used in the context of consent, 
consultation, or other function for a minor or for 
an adult who lacks the capacity to perform the 
required function, unless otherwise specified the 
term "client" shall include the legally 
responsible person. 

(12) "Client record" means a documented account r 
which may bo written, computerized, etc., of 
all services provided to a client, from tho timo 
of admission of th e olient by the faoility until 
discharg e from th e faoility. 

(13) "Commission" means the same as defined in 
G.S. 122C-3. 



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PROPOSED RULES 



(14) "Contract agency" means a legally constituted 
entity with which the area program contracts for 
a service exclusive of intermittent purchase of 
service for an individually identified client. 

(15) "Day/night service" means a service provided on 
a regular basis, in a structured environment that 
is offered to the same individual for a period of 

three or more hours within a 24-hour period. (24) 

(16) "Detoxification" means the physiological 
withdrawal of an individual from alcohol or 
other drugs in order that the individual can 
participate in rehabilitation activities. 

(17) "DFS" means the Division of Facility Services, 
701 Barbour Drive, Raleigh, N.C. 27603. 

(18) "Direct care staff" means an individual who 
provides active direct care, treatment, 
rehabilitation or habilitation services to clients. 

(19) "Division Director" means the Director of 
DMH/DD/SAS. (25) 

(20) "DMH/DD/SAS" means the Division of Mental 
Health, Developmental Disabilities, and (26) 
Substance Abuse Services, 325 N. Salisbury 

Street, Raleigh, N.C. 27603. 

(21) "Documentation" means provision of written or 
electronic, dated and authenticated evidence of 
the delivery of client services or compliance 
with statutes or Rules, e.g., entries in the client 
record, policies and procedures, minutes of 
meetings, memoranda, reports, schedules, 
notices and announcements. 

(22) "Drug abuse" means psychoactive substance 
abuse which is a residual category for noting 
maladaptive patterns of psychoactive substance 
use that have never met the criteria for 
dependence for that particular class of substance (27) 
which continues despite adverse consequences. 

The criteria for drug abuse delineated in the (28) 

DSM IV publish e d by th e Am e rioan Psyohiatrio 
Asoooiation, 1400 K Str ee t, N.W., Washington ^ 
D.C. 20005 at a cost of thirty nine dollars and 
ninety five oonto ($3 4 .95) — for the soft oovor 
e dition and fifty four dollaro and nin e ty fiv e 
o e nt s ($54.95) — for th e hard oov e r e d i tion is 
incorporated by reference. This incorporation 
by — reference — dees — net — include — subsequent 
am e ndm e nto and e ditiono of th e referenced (29) 

material. 

(23) "Drug dependence" means psychoactive 
substance dependence which is a cluster of 
cognitive behavioral, and physiologic symptoms (30) 
that indicate that a person has impaired control 

of psychoactive substance use and continues use (31) 

of the substance despite adverse consequences. 

The criteria for drug dependence delineated in 

the DSM IV publish e d by th e Amerioan (32) 

Psychiatric Association, 1 4 00 K Street, N.W., 

Washington, D.C. 20005 at a cost of thirty n ine 



dollars and ninety five cents ($3 4 .95) — for the 
s oft cov e r e dition and fifty four dollaro and 
nin e ty fiv e cento ($54.95) — for th e hard oovor 
edition is incorporated by reference. Thi s 
incorporation by reference doos not include 
subs e qu e nt am e ndmento — and e ditions — of the 
r e f e r e nc e d mat e rial. 

"DSM IV" means the publication of that title 
published by the American Psychiatric 
Association. 1400 K Street. N.W.. Washington. 
D.C. 20005 at a cost of thirty nine dollars and 
ninety-five cents ($39.95) for the soft cover 
edition and fifty four dollars and ninety-five 
cents ($54.95) for the hard cover edition. 
Where used in these definitions, incorporation 
by reference of DSM IV includes subsequent 
amendments and editions of the referenced 
material. 

"DWI" means driving while impaired, as 
defined in G.S. 20-138.1. 
"Evaluation" means an assessment service that 
provides for an a ppraisal of a client in order to 
determine the nature of the client's problem and 
his need for services. The services may include 
an assessment of the nature and extent of the 
client's problem through a systematic appraisal 
of mental, psychological, physical, behavioral, 
functional, social, economic, and/or intellectual 
resources, which identifies the nature and extent 
of an individual's — need, through a syst e matio 
appraisal, for the purposes of diagnosis and 
determination of the disability of the client, the 
client's level of eligibility, individual and the 
most appropriate plan, if any, for services. 
"Facility" means the same as defined in G.S. 
122C-3. 

"Foster parent" means an individual who 
provides substitute care for a planned period for 
a child when his own family or legal guardian 
cannot care for him; and who is licensed by the 
N.C. Department of Human Resources and 
supervised by the County Department of Social 
Services, or by a private program licensed or 
approved to engage in child care or child placing 
activities. 

"Governing body" means, in the case of a 
corporation, the board of directors; in the case 
of an ari^a authority, the area board; and in all 
other cases, the owner of the facility. 
"Habilitation" means the same as defined in 
G.S. 122C-3. 

"Hearing" means, unless otherwise specified, a 
contested case hearing under G.S. 150B, Article 
3. 

"Incident" means any ha ppening which is not 
consistent with the routine operation of a facility 
or service or the routine care of a client and that 



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1087 



PROPOSED RULES 



is likely to lead to adverse effects upon a client. 

(33) "Infant" means an individual from birth to one (49) 
year of age. 

(34) "Individualized education program" means a 
written statement for a child with special needs 
that is developed and implemented pursuant to 
16 NCAC 2E .1500 (Rules Governing Programs 

and Services for Children with Special Needs) (50) 

available from the Department of Public 
Instruction. (51) 

(35) "Inpatient service" means a service provided in 
a hospital setting on a 24-hour basis under the 
direction of a physician. The service provides 
continuous, close supervision for individuals 
with moderate to severe mental or substance 
abuse problems. 

(36) "Legend drug" means a drug that cannot be 
dispensed without a prescription. 

(37) "License" means a permit to operate a facility 
which is issued by DFS under G.S. 122C, 
Article 2. 

(38) "Medication" means a substance recognized in 
the official "United States Pharmacopoeia" or 
"National Formulary" intended for use in the 
diagnosis, mitigation, treatment or prevention of 
disease. 

(39) "Minor" means a person under 18 years of age 
who has not been married or who has not been 
emancipated by a decree issued by a court of 
competent jurisdiction or is not a member of the (52) 
armed forces. 

(40) "Operator" means the designated agent of the (53) 
governing body who is responsible for the 
management of a licensable facility. 

(41) "Outpatient service" means the same as periodic 
service. 

(42) "Parent" means the legally responsible person (54) 
unless otherwise clear from the context. 

(43) "Periodic service" means a service provided on 

an episodic basis, either regularly or (55) 

intermittently, through short, recurring visits for 
persons with mental illness, developmental (56) 

disability or who are substance abusers. 

(44) "Preschool age child" means a child from three (57) 
to five years old. 

(45) "Prevailing wage" means the wage rate paid to 

an experienced worker who is not disabled for (58) 

the work to be performed. 

(46) "Private facility" means a facility not operated 
by or under contract with an area program. 

(47) "Provider" means an individual, agency or 
organization that provides mental health, 
developmental disabilities or substance abuse (59) 
services. 

(48) "Rehabilitation" means training, care and (60) 
specialized therapies undertaken to assist a client 

to reacquire or maximize any or all lost skills or 



functional abilities. 

"Residential service" means a service provided 

in a 24-hour living environment in a non-hospital 

setting where room, board, and supervision are 

an integral part of the care, treatment, 

habilitation or rehabilitation provided to the 

individual. 

"School aged children" means children from six 

through twenty-one years of age. 

"Screening" means an assessment service that 

provides for an appraisal of an individual who is 

not a client in order to determine the nature of 

the individual's problem and his need for 

services. The service may include an 

assessment of the nature and extent of the 

individual's problem through a systematic 

appraisal of mental, psychological, physical. 

behavioral, functional, social, economic, and/or 

intellectual resources, for the purposes of 

diagnosis and determination of the disability of 

the individual, level of eligibility, if the 

individual will become a client, and the most 

appropriate plan, if any, for services, a o e rvio e 

which provides for a brief — apprai s al of oaoh 

individual who presents himself for services, in 

order to d e termin e th e natur e of th e individu al^ 

probl e m and hie nood for o e rvioos. — Sor ee ning - 

may also includo referral to other appropriate 

community resources. 

"Secretary" means the Secretary of the 

Department of Human Resources or designee. 

"Service" means an activity or interaction 

intended to benefit another, with, or on behalf 

of, an individual who is in need of assistance, 

care, habilitation, intervention, rehabilitation or 

treatment. 

"Service plan" means the same as 

treatment/habilitation plan defined in this 

Section. 

"Staff member" means any individual who is 

employed by the facility. 

"State facility" means the term as defined in 

G.S. 122C. 

"Support services" means services provided to 

enhance an individual's progress in his primary 

treatment/habilitation program. 

"System of care" means a spectrum of 

community based mental health and other 

necessary services which are organized into a 

coordinated network to meet the multiple and 

changing needs of emotionally disturbed children 

and adolescents. 

"Toddler" means an individual from one through 

two years of age. 

"Treatment" means the process of providing for 

the physical, emotional, psychological and social 

needs of clients through services. 



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(61) "Treatment/habilitation plan" means a plan in 
which one or more professionals, privileged in 
accordance with the governing body's policy, 
working with the client and family members or 
other service providers, document which 
services int e rv e ntion ! ] will be provided and the 
goals, objectives and strategies that will be 
implemented to achieve the identified outcomes. 
followod in providing Borvicoa to the client . A 
treatment plan may also be called a service plan. 

(62) "Twenty-four hour service" means a service 
which is provided to a client on a 24-hour 
continuous basis. 

Statutory Authority: G.S. 122C-3; 122C-26; 143B-147. 

.0104 STAFF DEFINITIONS 

The following credentials and qualifications apply to staff 
described in this Subchapter: 

(1) "Certified counselor" means a counselor who is 
certified as such by the North Carolina Counseling 
Association as Licensed Professional Counselors 
(LPC). 

(2) "Certified alcoholism counselor (CAC) (CSAC) " 
means an individual who is certified as such by 
the North Carolina Substance Abuse Professional 
Certification Board. 

(3) "Certified drug abuse counselor (CDAC)" means 
an individual who is certified as such by the North 
Carolina Substance Abuse Professional 
Certification Board. 

(4) "Certified substance abuse counselor (CSAC)" 
means an individual who is certified as such by 
the North Carolina Substance Abuse Professional 
Certification Board. 

(5) "Clinical" means having to do with the active 
direct treatment/habilitation of a client. 

(6) "Clinical staff member" means a professional who 
provides active direct treatment/habilitation to a 
client. 

(7) "Clinical/professional supervision" means 
regularly scheduled assistance by a qualified 
mental health professional, a qualified substance 
abuse professional or a qualified developmental 
disabilities professional to a staff member who is 
providing direct, therapeutic intervention to a 
client or clients. The purpose of clinical 
supervision is to ensure that each client receives 
appropriate treatment or habilitation which is 
consistent with accepted standards of practice and 
the needs of the client. 

(8) "Clinical social worker" means a social worker 
who is licensed as such by the N.C. Board of 
Social Work. 

(9) "Licensed Psychologist" means an individual who 
is licensed to practice psychology in the State of 
North Carolina. 



(10) "Nurse" means a person licensed to practice in the 
State of North Carolina either as a registered 
nurse or as a licensed practical nurse. 

(11) "Psychiatric nurse" means an individual who is 
licensed to practice as a registered nurse in the 
State of North Carolina by the North Carolina 
Board of Nursing and who is a graduate of an 
accredited master's level program in psychiatric 
mental health nursing with two years of 
experience, or has a master's degree in behavioral 
science with two years of supervised clinical 
experience, or has four years of experience in 
psychiatric mental health nursing. 

(12) "Psychiatric social worker" means an individual 
who holds a master's degree in social work from 
an accredited school of social work and has two 
years of clinical social work experience. 

(13) "Psychiatrist" means an individual who is licensed 
to practice medicine in the State of North Carolina 
and who has completed an accredited training 
program in psychiatry. 

(14) "Qualified alcoholism professional" means an 
individual who is certified as such by the North 
Carolina Substance Abuse Professional 
Certification Board or who is a graduate of a 
college or university with a baccalaureate or 
advanced degree in a human service related field 
with documentation of at least two years of 
supervised experience in the profession of 
alcoholism counseling. 

(15) "Qualified client record manager" means an 
individual who is a graduate of a curriculum 
accredited by the Council on Medical Education 
and Registration of the American Health 
Information Management Association and who is 
currently registered or accredited by the American 
Health Information Management Association. 

(16) "Qualified developmental disabilities professional" 
means an individual who is: 

(a) a graduate of a college or university with a 
baccalaureate degree in a discipline related to 
developmental disabilities and at least one year 
of supervised habilitative experience in working 
with individuals with developmental disabilities : 
m — a — human — service — related — field — with 
docum e ntation of at l e ast on e y e ar of sup e rvis e d 
e xp e ri e nc e in d e v e lopm e ntal dioabiliti e o ; 

(b) a graduate of a college or university with a 
baccalaureate degree in a human service related 
field disciplin e — r e lat e d — te — d e v e lopmental 
disabiliti e s and at least two years of supervised 
habilitative experience in working with 
individuals with developmental disabilities; or 

(c) a graduate of a college or university with a 
baccalaureate degree in a field other than one 
related to developmental disabilities and in a 
discipline related to developmental disabilities 



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PROPOSED RULES 



and having at least three years of supervised (2) 

habilitative experience in working with (3) 

individuals with developmental disabilities. (4) 

(17) "Qualified drug abuse professional" means an (A) 
individual who is: (B) 

(a) certified as such by the North Carolina (5) 
Substance Abuse Professional Certification (A) 
Board; (B) 

(b) a graduate of a college or university with an (C) 
advanced degree in a human service related field 

with documentation of at least one year of (D) 

supervised experience in the profession of drug 

abuse counseling; or (E) 

(c) a graduate of a college or university with a (6) 
baccalaureate or advanced degree in a human (A) 
service related field with documentation of at 

least two years of supervised experience in the (B) 

profession of drug abuse counseling. 

(18) "Qualified mental health professional" means an 

individual who is: (C) 

(a) psychiatric nurse, practicing psychologist, or a 
psychiatric social worker; (7) 

(b) graduate of a college or university with an 

advanced degree in a related human service (A) 

field and two years of supervised clinical 

experience in mental health services; or (B) 

(c) a graduate of a college or university with a 
baccalaureate degree in a related human service (C) 
field and four years of supervised clinical 
experience in mental health services. 

(19) "Qualified substance abuse professional" means an 

individual who is: (D) 

(a) certified as such by the North Carolina 
Substance Abuse Professional Certification 
Board; or 

(b) a graduate of a college or university with an 
advanced degree in a human service related field 
with documentation of at least one year of 
supervised experience in the profession of 
alcoholism and drug abuse counseling; or 

(c) a graduate of a college or university with a 
baccalaureate in a human service related field 
with documentation of at least two years of 
supervised experience in the profession of 
alcoholism and drug abuse counseling. (8) 

Statutory Authority G.S. 122C-3; 122C-26; 143B-147. (9) 

SECTION .0200 - OPERATION AND (10) 

MANAGEMENT RULES 

(11) 

.0201 GOVERNING BODY POLICIES (12) 

(a) The governing body responsible for each facility or 

service shall develop and implement written policies for the (13) 

following: (14) 
(1) delegation of management authority for the 

operation of the facility and services; (15) 



(E) 
(F) 



(G) 



criteria for admission; 
criteria for discharge; 
admission assessments, including: 

who will perform the assessment; and 

time frames for completing assessment, 
client record management, including: 

persons authorized to document; 

transporting records; 

safeguard of records against loss, tampering, 

defacement or use by unauthorized persons; 

assurance of record accessibility to authorized 

users at all times; and 

assurance of confidentiality of records, 
screenings, which shall include: 

an assessment of the individual's presenting 

problem or need; 

an assessment of whether or not the facility 

can provide services to address the individual's 

needs; and 

the disposition, including referrals and 

recommendations; 
quality assurance / quality improvement 
activities, including: 

composition and activities of a quality 

assurance / quality improvement committee; 

written quality assurance / quality 

improvement plan; 

methods for monitoring and evaluating the 

quality and appropriateness of client care, 

including delineation of client outcomes and 

utilization of services; 

professional or clinical supervision, including 

a requirement that staff who are not qualified 

professionals and provide direct client services 

shall be supervised by a qualified professional 

in that area of service; 

strategies for improving client care; 

review of staff qualifications and a 

determination made to grant 

treatment/habilitation privileges; 

review of all fatalities of active clients who 

were being served in area -operated or 

contracted residential programs at the time of 

death ; 
use of medications by clients in accordance with 
the Rules in this Section; 
reporting of any incident, unusual occurrence or 
medication error; 

voluntary non-compensated work performed by 
a client; 

client fee assessment and collection practices; 
medical preparedness plan to be utilized in a 
medical emergency; 

authorization for and follow up of lab tests; 
transportation, including the accessibility of 
emergency information for a client; 
services of volunteers, including supervision and 



1090 



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PROPOSED RULES 



for maintaining client Statutory Authority G.S. 122C-26; 143B-147. 



requirements 
confidentiality; 

(16) areas in which staff A including nonprofessional 
staff, receive training and continuing education; 

(17) safety precautions and requirements for facility 
areas including special client activity areas; and 

(18) client grievance policy, including procedures for 
review and disposition of client grievances. 

(b) Minutes of the governing body shall be permanently 
maintained. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0202 PERSONNEL REQUIREMENTS 

(a) All facilities or services shall require that applicants 
for employment disclose any criminal conviction. The 
impact of this information on a decision regarding 
employment shall be based upon the offense in relationship 
to the job for which the applicant is applying. 

(b) Staff of a facility or a service shall be currently 
licensed, registered or certified, as appropriate to the 
services which are provided in accordance with applicable 
NC State Laws. 

(c) A personnel record shall be maintained for each 
individual employed indicating the training, experience, and 
other qualifications for the position, including verification 
appropriate to licensure, registration or certification. 

(d) Continuing education shall be documented. 

(e) Orientation programs shall be provided. 

(f) Staff training shall include training in infectious 
diseases and blood-borne pathogens . 

(g) At least one staff member in a facility who is trained 
in basic first aid, cardiopulmonary resuscitation, seizure 
management, and the Heimlich maneuver or other approved 
Red Cross first aid techniques for relieving airway 
obstruction shall be available at all times. 

(h) The governing body may require medical statements,. 
and it shall require medical statements from all direct care 
providers except those in facilities that provide only periodic 
services . When in these Rules, a medical statement is 
required, the following minimums apply: 

(1) The staff member shall submit to the program at 
the time of initial approval and annually 
thereafter a medical statement from a licensed 
physician, nurse practitioner, or physician's 
assistant. 

(2) The medical statement may be in any written 
form but shall be signed by the physician, nurse 
practitioner, or physician's assistant and indicate 
the general good physical and mental health of 
the individual, and th e absence of any indication 
of lack of evidence of active tuberculosis and 
communicable diseases^ or any other condition 
that poses a threat to clients . 

(3) The facility or program shall keep the most 
recent medical statement on file. 



.0203 ASSESSMENT AND TREATMENT/ 
HABILrTATION OR SERVICE PLAN 

(a) An assessment shall be completed for a client, 
according to governing body policy, prior to the delivery of 
services, and shall include, but not be limited to: 



(1) 
(2) 
(3) 



(4) 
(5) 



the client's presenting problem; 

the client's needs and strengths; 

a provisional or admitting diagnosis with an 

established diagnosis determined within 30 days 

of admission, except that a client admitted to a 

detoxification or other 24-hour medical program 

shall have an established diagnosis upon 

admission; 

a pertinent social, family, and medical history 

within 30 days ; and 

evaluations or assessments, such as psychiatric, 

substance abuse, medical, and vocational, as 

appropriate to the client's needs. 

(b) when services are provided prior to the establishment 
and implementation of the oomprohonoivo 
treatment/habilitation or service plan, hereafter referred to 
as the plan, strategies to address the client's presenting 
problem treatment/habilitation or service objectives shall be 
documented. 

(c) The treatment/habilitation or aorvioo plan shall be 
developed based on the assessment, and in partnership with 
the client and/ or legally responsible person, within 30 days 
of admission for clients who are expected to receive services 
beyond 30 days. 

(d) The treatment/habilitation or service plan shall 
include: 

client outcome(s) that are anticipated to be 

achieved by provision of the service and a 

projected date of achievement time specific 

measurable goals for treatment / habitation or 

o e rvioe delivory ; 

strategies or proo e duroo to me e t th e goals ; 

staff responsible for the implementation — ef 

specific goals; and 

a schedule for review of the plan at least 

annually in consultation with the client and/or 

legally responsible person . 

basis for evaluation or assessment of goal 

objective achievement; and 

written consent or agreement by the client or 

responsible party, or a written statement by the 

provider stating why such consent could not be 

obtained. 

Statutory Authority G.S. 122C-26; 130A-144; 130A-152; 
143B-147. 

.0204 CLIENT RECORDS 

A client record shall be maintained for each individual 
admitted to the facility, which shall contain, but need not be 



(1) 



(2) 
(3) 

(4) 



(51 



(6) 



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1091 



PROPOSED RULES 



limited to: 

(1) an identification face sheet which includes: 

(a) name (last, first, middle, maiden); 

(b) client record number; 

(c) date of birth; 

(d) race, gender and marital status; 

(e) admission date; 
(0 discharge date; 

(2) documentation of mental illness, developmental 
disabilities or substance abuse diagnosis coded 
according to DSM IV Diagnootio and Statistical 
Manual for Mental Disorders (DSM IV) ; 

(3) documentation of the assessment and screening 
and assessment; 

(4) treatment/habilitation or service plan; 

(5) emergency information for each client which shall 
include the name, address and telephone number 
of the person to be contacted in case of sudden 
illness or accident and the name, address and 
telephone number of the client's preferred 
physician; 

(6) a signed statement from the client or legally 
responsible person granting permission to seek 
emergency care from a hospital or physician, 

f£) documentation of progress or observations; 

(7) documentation of services provided to address th e 

[8] 
(9) 
(a) 



(b) 
(c) 
(d) 



documentation of progress toward outcomes: 
if applicable: 

documentation of physical disorders diagnosis 

according to International Classification of 

Diseases (1CD-9-CM); 

medication orders; 

orders and copies of lab tests; and 

documentation of medication and administration 

errors and adverse drug reactions. 



Statutory Authority G.S. 122C-26; 143B-147. 

.0205 EMERGENCY PLANS AND SUPPLIES 

(a) A written fire plan for each facility and area-wide 
disaster plan shall be developed for oaoh faoility and shall be 
approved by the appropriate local £*» authority. 

(1) The plan shall be made available to all staff and 
evacuation procedures and routes shall be posted 
in the facility. 

(2) Fire and disaster drills in a 24-hour facility shall 
be held at least quarterly and shall be repeated 
for each shift. Drills shall be conducted under 
conditions that simulate fire emergencies. 

(b) Each facility shall have basic first aid supplies 
accessible for use. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0206 CLIENT SERVICES 

(a) Facilities that provide activities for clients shall assure 



that: 

(1) space and supervision is provided to ensure the 
safety and welfare of the clients; 

(2) activities are suitable for the ages, interests, and 
treatment/habilitation needs of the clients served; 
and 

(3) clients participate in planning or determining 
activities. 

(b) Facilities or programs designated or described in these 
Rules as "24-hour" shall make services available 24 hours 
a day, every day in the year, unless otherwise specified in 
the Rule. 

(c) Facilities that serve or prepare meals for clients shall 
ensure that the meals are nutritious. 

(d) When clients who have a physical handicap are 
transported, the vehicle shall be equipped with secure 
adaptive equipment. 

(e) When two or more preschool children who require 
special assistance with boarding or riding in a vehicle are 
transported in the same vehicle, there shall be one adult, 
other than the driver, to assist in supervision of the children. 

(f) Any client services provided by individuals who do 
not meet the criteria for a qualified professional as defined 
in these Rules shall be supervised by a qualified 
professional. 

Statutory Authority G.S. 122C-26; 122C-112; 122C-146; 
130A-361; 143B-147; 150B-14(c). 

.0207 MEDICATION REQUIREMENTS 

(a) Medication dispensing: 

(1) Medications shall be dispensed only on the 
written order of a physician or other practitioner 
licensed to prescribe. 

(2) Dispensing is restricted to registered 
pharmacists, physicians, or other health care 
practitioners authorized by law and registered 
with the North Carolina Board of Pharmacy. If 
a permit to operate a pharmacy is not required. 
a nurse or other designated person can assist a 
physician or other health care practitioner with 
dispensing so long as the final label, container, 
and its contents are physically checked and 
approved by the authorized person prior to 
dispensing pharmacist or physician . 

(3) Methadone for take-home purposes may be 
supplied to a client of a methadone treatment 
service in a properly labeled container by a 
registered nurse employed by the service, 
pursuant to the requirements of 10 NCAC 45G 
.0306 SUPPLYING OF METHADONE IN 
TREATMENT PROGRAMS BY RN. 
Supplying of methadone is not considered 
dispensing. 

(4) Other than for emergency use, faculties shall not 
possess a stock of prescription legend drugs for 
the purpose of dispensing without hiring a 



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10:13 



PROPOSED RULES 



pharmacist and obtaining a permit from the NC 
Board of Pharmacy. Physicians are permitted to 
keep a small locked supply of prescription drug 
samples. Samples shall be dispensed, packaged, 
and labeled in accordance with state law and this 
Rule. 

(b) Medication packaging and labeling: 

(1) Non-prescription drug containers not dispensed 
by a pharmacist shall retain the manufacturer's 
label with expiration dates clearly visible; 

(2) Prescription medications, whether purchased or 
obtained as samples, shall be dispensed in 
tamper-resistant packaging that will minimize the 
risk of accidental ingestion by children. Such 
packaging includes plastic or glass bottles/vials 
with tamper-resistant caps, or in the case of 
unit-of-use packaged drugs, a zip-lock plastic 
bag may be adequate; 

(3) The packaging label of each prescription drug 
dispensed must include the following: 

(A) the client's name; 

(B) the prescriber's name; 

(C) the current dispensing date; 

(D) clear directions for self-administration; 

(E) the name, strength, quantity, and expiration 
date of the prescribed drug; and 

(F) the name, address, and phone number of the 
pharmacy or dispensing location (e.g., 
mh/dd/sa center), and the name of the 
dispensing practitioner. 

(c) Medication administration: 

(1) Prescription or non-prescription drugs shall only 
be administered to a client on the written order 
of a person authorized by law to prescribe 
drugs. 

(2) Medications shall be self-administered by clients 
only when authorized in writing by the client's 
physician. 

(3) Medications, including injections, shall be 
administered only by licensed persons, or by 
unlicensed persons trained by a registered nurse, 
pharmacist or other legally qualified person and 
privileged to prepare and administer 
medications. 

(4) A Medication Administration Record (MAR) of 
all drugs administered to each client must be 
kept current. Any administratioB -ef Medications 
administered shall be recorded immediately after 
administration, but boforo — the next — routine 
administration — tim e , — indicating — eaeh — dos e 
administer e d . The MAR is to include the 
following: 

(A) client's name; 

(B) name, strength, and quantity of the drug; 

(C) instructions for administering drug; 

(D) date and time drug is administered; and 

(E) name or initials of person administering the 



drug. 
(5) Client requests for medication changes or checks 
will be recorded and kept with the MAR file 
followed up by appointment or consultation with 
a physician. 

(d) Medication disposal: 

(1) All prescription and non-prescription medication 
shall be disposed of in a manner that guards 
against diversion or accidental ingestion. 

(2) Non-controlled substances shall be disposed of 
by incineration, flushing into septic or sewer 
system, or by transfer to a local pharmacy for 
destruction. A record of the medication disposal 
shall be maintained by the program. 
Documentation shall specify the client's name, 
medication name, strength, quantity, disposal 
date and method, the signature of the person 
disposing of medication, and the person 
witnessing destruction. 

(3) Controlled substances shall be disposed of in 
accordance with the North Carolina Controlled 
Substances Act, G.S. Chapter 90, Article 5^ 
including any subsequent amendments Chapt e r 
90 of the North Carolina Gonoral Statute s. 

(4) Upon discharge of a patient or resident, the 
remainder of his or her drug supply shall be 
disposed of promptly unless it is reasonably 
expected that the patient or resident shall return 
to the facility and in such case, the remaining 
drug supply should not be held for not more that 
30 calendar days after the date of discharge. 

(e) Medication Storage: 

(1) All medication shall be stored: 

(A) in a securely locked cabinet in a clean, well- 
lighted, ventilated room between 59 o and 
86o F.; 

(B) in a refrigerator, if required, between 36 o 
and 46 o F. If the refrigerator is used for 
food items, medications shall be kept in a 
separate, locked compartment or container; 

(C) separately for each client; 

(D) separately for external and internal use; 

(E) in a secure manner if approved by a physician 
for a client to self-medicate. 

(2) Each facility that maintains stocks of controlled 
substances shall be currently registered under the 
North Carolina Controlled Substances Act and 
shall be in compliance with the North Carolina 
Controlled Substances Act, G.S. Chapter 90, 
Article 5^ including any subsequent amendments 
Chapt e r 90 of th e North Carolina G e n e ral 
Statutes, Article 5, North Carolina Controlled 
Substances Act adopted by reference to include 
any subs e qu e nt am e ndm e nts or e ditions . 

(f) Medication review: 

(1) If the client receives psychotropic drugs, the 
governing body or operator is responsible for 



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1093 



PROPOSED RULES 



obtaining a review of each client's drug regimen 
at least every six months. The review is to be 
performed by a pharmacist or physician other 
than the prescribing physician . The on-site 
manager must assure that the client's physician 
is informed of and acknowledges the rooulto of 
the review recommendations when medical 
intervention is indicated. 
(2) The findings of the drug regimen review should 
be recorded in the client record along with 
corrective action, if applicable, 
(g) Medication education: 

(1) Each client started or maintained on a 
medication by an area program physician shall 
receive either oral or written education regarding 
the prescribed medication by the physician or 
his/her designee. In instances where the ability 
of the client to understand the education is 
questionable, a responsible person shall be 
provided either oral or written instructions on 
behalf of the client. 

(2) The medication education provided shall be 
sufficient to enable the client or other 
responsible person to make an informed consent, 
to safely administer the medication and to 
encourage compliance with the prescribed 
regimen. 

(3) The area program physician or designee shall 
document in the client record that education for 
the prescribed psychotropic medication was 
offered and either provided or declined. If 
provided, it shall be documented in what manner 
it was provided (either orally or written or both) 
and to whom (client or responsible person). 

(h) Medication errors. Drug administration errors and 
significant adverse drug reactions must be reported 
immediately to a physician or pharmacist. An entry of the 
drug administered and the drug reaction must be properly 
recorded in the drug record. A client's refusal of a drug 
must be charted. In addition, drug administration errors 
must be reported as follows: 

(1) Within 24 hours to the supervisor of the staff 

member administering the drug. 

Within 72 hours to the area director. 






W'ithin 90 days to the Client Rights Committee. 
At least quarterly to the area program board. 



Statutory Authority G.S. 90-21.5; 90-171.20(7) (8) ; 
90-171.44; 122C-26; 143B-147. 

.0208 RESEARCH REVIEW BOARD 

(a) For purposes of this Rule, "research" means inquiry 
involving a trial or special observation made under 
conditions determined by the investigator to confirm or 
disprove a hypothesis, or to explicate some principle or 
effect. The term "research" as used here means research 
which is not standard or conventional; involves a trial or 



special observation which would place the subject at risk for 
injury (physical, psychological or social injury), or increase 
the chance of disclosure of treatment; utilizes elements or 
steps not ordinarily employed by qualified professionals 
treating similar disorders of this population; or is a type of 
procedure that serves the purpose of the research only and 
does not include treatment designed primarily to benefit the 
individual. 

(b) Prior to the initiation of any research activity in a 
facility which involves clients or client records, it shall be 
reviewed and approved by a research review board 
recognized by the facility in which the proposed research is 
to be conducted. 

(c) The board shall consist of at least three members, the 
majority of whom are not directly associated with the 
research proposal which is under consideration. 

(d) Each proposed research project shall be presented to 
the research review board as a written protocol including, 
at least, the following information: 

(1) name of the project and the principal 
investigator; 

(2) statement of objectives (hypothesis) and 
rationale, and 

(3) description of the methodology, including 
informed consent if necessary. 

(e) The board shall assure that informed, written consent 
is obtained from each client, or each legally responsible 
person if the client is a minor or incompetent adult, in each 
research project, to include: 

(1) documentation that the client has been informed 
of any potential dangers that may exist and that 
he understands the conditions of participation; 
and 

(2) notice of the client's right to terminate 
participation at any time without prejudicing the 
treatment he is receiving. 

A copy of the dated, signed consent form shall be kept on 
file in the client record by the facility. 

(f) Each approved research project shall be reviewed by 
the research review board at least annually. Significant 
modifications in the research protocol shall be reviewed and 
approved in advance by the research review board. 

(g) Minutes of each research board meeting shall be 
maintained. 

Statutory Authority G.S. 122C-26; 122C-52; 143B-147. 

SECTION .0300 - PHYSICAL PLANT RULES 

.0301 COMPLIANCE WITH BUILDING CODES 

(a) Each new facility shall be in compliance with all 
applicable portions of the North Carolina State Building 
Code in effect at the time of licensing. 

(b) Each facility operating under a current license issued 
by DFS upon the effective date of this rule shall be in 
compliance with all applicable portions of the North 
Carolina State Building Code in effect at the time the facility 



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was constructed or last renovated. 

(c) Each facility shall maintain documented evidence of 
compliance with applicable fire, sanitation and building 
codes including an annual fire inspection. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 FACILITY CONSTRUCTION/ ALTERATIONS/ 
ADDITIONS 

(a) When construction, use, alterations or additions are 
planned for a new or existing facility, work shall not begin 
until after consultation with the DFS Construction Section 
and with the local building and fire officials having 
jurisdiction. 

(b) All required permits and approvals shall be obtained 
from the appropriate authorities. 

(c) Each facility shall comply with the Americans with 
Disabilities Act. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0303 LOCATION AND EXTERIOR 
REQUIREMENTS 

(a) Each facility shall be located on a site where: 

(1) fire protection is available; 

(2) water supply, sewage and solid waste disposal 
services have been approved by the local health 
department; 

(3) occupants are not exposed to undue hazards and 
pollutants; and 

(4) local ordinances and zoning laws are met. 

(b) The site at which a 24-hour facility is located shall 
have sufficient outdoor area to permit clients to exercise 
their right to outdoor activity in accordance with the 
provisions of G.S. 122C-62. 

(c) Each facility and its grounds shall be maintained in a 
safe, clean, attractive and orderly manner and shall be kept 
free from offensive odor. 

(d) Buildings shall be kept free from insects and rodents. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0304 FACILITY DESIGN AND EQUIPMENT 

(a) Privacy: Facilities shall be designed and constructed 
in a manner that will provide clients privacy while bathing, 
dressing or using toilet facilities. 

(b) Safety: Each facility shall be designed, constructed 
and equipped in a manner that ensures the physical safety of 
clients, staff and visitors. 

(1) All hallways, doorways, entrances, ramps, steps 
and corridors shall be kept clear and 
unobstructed at all times. 

(2) All mattresses purchased for existing or new 
facilities shall be fire retardant. 

(3) Electrical, mechanical and water systems shall 
be maintained in operating condition. 

(4) All indoor areas to which clients have routine 



access shall be well-lighted. Lighting shall be 
adequate to permit occupants to comfortably 
engage in normal and appropriate daily activities 
such as reading, writing, working, sewing and 
grooming. 

(c) Comfort Zone: Each 24-hour facility shall provide 
heating and air-cooling equipment to maintain a comfort 
range between 68 and 80 degrees Fahrenheit. 

(1) This requirement does not apply to therapeutic 
(habilitative) camps and other 24-hour facilities 
for six five or fewer clients. 

(2) Facilities licensed prior to 10/1/88 shall not be 
required to add or install cooling equipment if 
not already installed. 

(d) Indoor space requirements: Facilities licensed prior 
to 10/1/88 shall satisfy the minimum square footage 
requirements in effect at that time. Unless otherwise 
provided in these Rules, residential facilities licensed after 
10/01/88 shall meet the following indoor space 
requirements: 

(1) Client bedrooms shall have at least 100 square 
feet for single occupancy and 80 square feet per 
client when more than one client occupies the 
bedroom. 

(2) Where bassinets and portable cribs for infants 
are used, a minimum of 40 square feet per 
bassinet or portable crib shall be provided. 

(3) No more than two clients may share an 
individual bedroom regardless of bedroom size. 

(4) In facilities with overnight accommodations for 
persons other than clients, such accommodations 
shall be separate from client bedrooms. 

(5) No client shall be permitted to sleep in an 
unfinished basement or in an attic. 

(6) In a residential facility licensed under residential 
building code standards and without elevators, 
bedrooms above or below the ground level shall 
be used only for individuals who are capable of 
moving up and down the steps independently. 

(7) Minimum furnishings for client bedrooms shall 
include a separate bed, bedding, pillow, bedside 
table, and storage for personal belongings for 
each client. 

(8) Only clients of the same sex may share a 
bedroom except for children age six or below, 
and married couples. 

(9) Children and adolescents shall not share a 
bedroom with an adult. 

(10) At least one full bathroom for each five or fewer 
persons including staff of the facility and their 
family shall be included in each facility. 

(11) Each facility, except for a private home 
provider, shall have a reception area for clients 
and visitors and private space for interviews and 
conferences with clients. 

(12) The area in which therapeutic and habilitative 
activities are routinely conducted shall be 



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separate from sleeping areas. 
Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0400 - LICENSING PROCEDURES 

.0401 LICENSE REQUIRED 

(a) No person shall establish, maintain or operate a 
licensable facility within the meaning of G.S. 122C-3 
without first applying for and receiving a license from the 
Division of Facilities Services DFS . 

(b) Except for facilities excluded from licensure by G.S. 
122C, DFS will deem any facility licensable if its primary 
purpose is to provide services for the care, treatment, 
habilitation or rehabilitation of individuals with mental 
illness, developmental disabilities, or substance abuse 
disorders. 

(c) Living arrangements coordinated for adult clients in 
connection with case management or personal assistance 
services are not considered licensable facilities unless their 
primary purpose is to provide care, treatment, habilitation 
or rehabilitation, rather than simply to provide living 
accommodations thoy hav e th e primary purpoo e of oar e , 
treatment, habilitation or rehabilitation . 

Statutory Authority G.S. 122C-3; 122C-23; 122C-26; 143B- 
147. 

.0402 LICENSE ISSUANCE 

(a) Applications for licensure shall be requested and 
completed in the form specified by DFS at least thirty days 
prior to the planned operation date of a new facility. Copies 
of reports, findings or recommendations issued by any 
accreditation agency and corrective action plans shall be 
submitted with the application for licensure. 

(b) The content of license applications shall include: 

(1) Name of person (as defined in G.S. 122-C3) 
submitting the application; 

(2) Business name of facility, if applicable; 

(3) Street location of the facility (including multiple 
addresses if more than one building at one site); 

(4) Name and title of the operator of the facility; 

(5) Type of facility; services offered; ages served; 
and, when applicable, capacity and a floor plan 
showing bed locations and room numbers, any 
unlocked time-out rooms, and any locked 
interior or exterior doors which would prohibit 
free egress of clients; and 

(6) Indication of whether the facility is operated by 
an area program, under contract with an area 
program, or is a private facility. 

(c) DFS shall conduct an on-site inspection to determine 
compliance with all rules and statutes. If the facility is 
operated by or contracted with an area program, DFS may, 
in lieu of conducting an on-site inspection, accept written 
verification from the area program or DMH/DD/SAS that 
the verifying authority has conducted an on-site review and 



the facility is in compliance with rules and statutes. The 
written verification shall be in such form as DFS may 
require. 

(d) DFS shall issue a license after it determines a facility 
is in compliance with: 

(1) Certificate of Need rules as codified in 10 
NCAC 3R .2600; 

(2) Building Code and physical plant requirements 
in these Rules; 

(3) Annual fire and safety and sanitation 
requirements, with the exception of a day/night 
or periodic service that does not handle food for 
which a sanitation inspection report is not 
required; and 

(4) Applicable rules and statutes. 

(e) Licenses shall be issued to the specific premise for 
types of services indicated on the application. 

(f) A separate license shall be required for each facility 
which is maintained on a separate site, even though the sites 
may be under the same ownership or management. 

Statutory Authority G.S. 122C-3; 122C-23; 122C-26; 122C- 
27(5); 143B-147. 

.0403 DEEMED STATUS 

(a) A facility may be awarded a deemed status and 
licensed if it is certified or accredited by a nationally 
recognized agency which has been approved in advance by 
the Commission, and it provides verification of certification 
or accreditation to DFS. 

(b) Any facility licensed under this Rule shall continue to 
be subject to inspection by DFS or by DMH/DD/SAS as 
provided in these Rules. 

Statutory Authority G.S. 122C-22; 122C-26; 131E-67; 143B- 
17; 143B-147; 150B, Article 3. 

.0404 OPERATIONS DURING LICENSED PERIOD 

(a) A license shall be valid for a period not to exceed two 
years from the date on which the license is issued. 

(b) For all facilities providing periodic and day/night 
services, the license shall be posted in a prominent location 
accessible to public view within the licensed premises. 

(c) For 24-hour facilities, the license shall be readily 
available for review upon request. 

(d) A facility shall accept no more clients than the 
number for which it is licensed. 

(e) DFS may conduct inspections of facilities without 
advance notice as DFS deems appropriate. For facilities 
that are not operated by or contracted with area programs, 
and that therefore are not encompassed by the accreditation 
process. DFS shall conduct an on-site inspection at least 
once every two years. For purposes of this inspection. DFS 
may accept DMH/DD/SAS or area program verification in 
accordance with Rule .0402(c) of this Section, or deemed 
status in accordance with Rule .0403 of this Section. 

(0 Written notification must be submitted to DFS prior to 



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any of the following: 

(1) Construction of a new facility or any renovation 
of an existing facility; 

(2) Increase or decrease in capacity by program 
service type; 

(3) Change in program service; 

(4) Change in ownership including any change in a 
partnership; 

(5) Change of name of facility; or 

(6) Change in location of facility. 

(g) When a licensee plans to close a facility or 
discontinue a service, written notice at least 30 days in 
advance shall be provided to DFS A to all affected clients, 
and when applicable, to the legally responsible persons of 
all affected clients . This notice shall address continuity of 
services to clients in the facility. 

(h) Licenses will expire unless renewed by DFS for an 
additional period. Thirty days prior to the expiration of a 
license, the licensee shall submit to DFS the following 
information: 

(1) Brief description of any changes in the facility 
since the last written notification was submitted; 

(2) Annual local fire and sanitation inspection 
reports, with the exception of a day/night or 
periodic service that does not handle food for 
which a sanitation inspection report is not 
required; and 

(3) Copies of deficiencies and corrective action 
issued by an area program, DMH/DD/SAS, or 
any accreditation agency. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0405 LICENSE DENIAL, AMENDMENT OR 
REVOCATION 

(a) Denial: DFS may deny an application for license 
based on the determination that the applicant is not in 
compliance with: 

(1) rules promulgated under G.S. Chapter 122C, 
Article 2; or 

(2) applicable provisions of the Certificate of Need 
law under G.S. Chapter 13 IE, Article 9 and 
rules adopted under that law. 

(b) Notice: When an application for license of a new 
facility is denied: 

( 1 ) DFS shall give the applicant written notice of the 
denial, the reasons for the denial and advise the 
applicant of the right to request a contested case 
hearing pursuant to G.S. 150B; and 

(2) The facility shall not operate until a decision is 
made to issue a license, despite an appeal action. 

(c) Amendment: DFS may amend a license to indicate a 
provisional status whenever DFS determines there are 
violations of rules, but the violations do not pose an 
immediate threat to the health, safety or welfare of the 
clients served. 

(1) Provisional status shall be approved for not less 



than 30 days nor more than six months. 

(2) Provisional status shall be effective immediately 
upon notice to the licensee and must be posted in 
a prominent location, accessible to public view, 
within the licensed premises. 

(3) A new license, which deletes the provisional 
status, shall be issued when a facility is 
determined by DFS to be in compliance with 
applicable rules. 

(4) If a facility fails to comply with the rules within 
the time frame determined by DFS, the license 
will automatically terminate on the expiration 
date of the provisional status. 

(5) If a licensee has a provisional status at the time 
that the licensee submits a renewal application, 
the license, if renewed, shall also be of a 
provisional status unless DFS determines that the 
violations have been corrected. 

(6) A decision to issue a provisional status is stayed 
during the period of an administrative appeal and 
the licensee may continue to display its license 
during the appeal. 

(d) Revocation: DFS shall revoke a license whenever it 
finds that there has been any failure to comply with the 
provisions for G.S. 122C, Article 2, that there have been 
violations of rules promulgated under those parts, and that 
such violations endanger the health, safety, or welfare of the 
individuals in the facility. 

(e) Summary Suspension: Should DFS find that public 
health, safety or welfare considerations require emergency 
action. DFS shall issue an order of summary suspension and 
include the findings in its order. 

(1) The order shall suspend only those privileges or 
services as necessary to protect the public 
interest. An order of summary suspension shall 
be effective on the date specified in the order or 
on the date of service of the order at the last 
known address of the licensee, whichever is 
later. 

(2) The licensee may contest the order by requesting 
a contested case hearing pursuant to G.S. 150B. 
The order for summary suspension shall be in 
full force and effect during any contested case 
hearing. 

(3) The order also may set a date by which the 
licensee shall remove the cause for the 
emergency action. If the licensee fails to meet 
that deadline. DFS may take action to revoke or 
amend the facility's license. 

Statutory Authority G.S. 122C-24; 122C-26; 122C-27; 143B- 
147; 150B-3; 12(a); 23-(a)(f); 150B-45. 

SECTION .0500 - AREA PROGRAM 
REQUIREMENTS 

0501 REQUIRED SERVICES 



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Each area program shall provide and/ or contract for the 
provision of the following services: 

(1) Outpatient for Individuals of all Disability Groups; 

(2) Emergency for Individuals of all Disability 
Groups; 

(3) Consultation & Education for Individuals of all 
Disability Groups; 

(4) Case Management for Individuals of all Disability 
Groups; 

(5) Inpatient Hospital Treatment for Individuals Who 
Have Mental Illness or Substance Abuse 
Disorders; 

(6) Psychosocial Rehabilitation for Individuals with 
Severe and Persistent Mental Illness or Partial 
Hospitalization Services for Individuals Who are 
Acutely Mentally 111; 

(7) Developmental Day Services for Preschool 
Children with or at Risk for Developmental 
Disabilities or Delays or Atypical Development; 

(8) Adult Developmental Activity Programs (ADAP) 
for Individuals with Developmental Disabilities; 

(9) Alcohol and Drug Education Traffic Schools 
(ADETS); 

(10) Drug Education Schools (DES); 

(11) Social Setting, Nonhospital Medical, or Outpatient 
Detoxification Services for Individuals who are 
Alcoholics; 

(12) Forensic Screening and Evaluation for Individuals 
of all Disability Groups; and 

(13) Early Childhood Intervention Services for 
Children with or at Risk for Developmental 
Delay, Disabilities, or Atypical Development and 
Their Families (ECIS). 

Statutory Authority G.S. 143B-147. 

.0502 AREA PROGRAM/HOSPITAL AGREEMENT 

(a) Each area program shall make provisions for inpatient 
services for individuals with mental illness or substance 
abuse disorders, including access for both voluntary and 
involuntary admissions. The area program may provide 
these services, develop written agreements, or have written 
referral procedures to a general hospital or private hospital, 
to ensure that both voluntary and involuntary clients shall 
have access to needed inpatient services. 

(b) A written agreement between the area program and a 
general hospital or private hospital shall specify at least the 
following: 

(1) criteria for service availability for area program 
patients; 

(2) responsibilities of both parties related to 
admission, treatment, and discharge of patients; 

(3) parties responsible for the operation of the 
inpatient service; 

(4) responsibilities of each party regarding 
continuity of service for patients discharged 
from the inpatient service; and 



(5) provision for the exchange of information. 
(c) When services are provided out of State, the written 
agreement shall be approved by the DMH/DD/SAS. 

Statutory Authority G.S. 143B-147. 

.0503 STAFF REQUIREMENTS 

Each area program shall employ or contract for the 
services of a: 

(1) psychiatrist; 

(2) practicing psychologist; 

(3) psychiatric nurse; 

(4) psychiatric social worker; 

(5) certified alcoholism counselor and certified drug 
abuse counselor, or at least one certified substance 
abuse counselor; 

(6) qualified developmental disabilities professional; 
and 

(7) qualified client record manager. 

Statutory Authority G.S. 122C-121; 122C-154; 122C-155; 
143B-147. 

.0504 CLIENT RIGHTS COMMITTEE 

(a) The area board shall bear ultimate responsibility for 
the assurance of client rights. 

(b) Each area board shall establish at least one Client 
Rights Committee, and may require that the governing body 
of a contract agency also establish a Client Rights 
Committee. The area board shall also develop and 
implement policy which delineates: 

(1) composition, size, and method of appointment of 
committee membership; 

(2) training and orientation of committee members; 

(3) frequency of meetings; 

(4) rules of conduct for meetings and voting 
procedures to be followed; 

(5) procedures for monitoring the effectiveness of 
existing and proposed methods and procedures 
for protecting client rights; 

(6) requirements for routine reports to the area 
board regarding seclusion, restraint and isolation 
time out; and 

(7) other operating procedures. 

(c) The area-board-established Client Rights Committee 
shall oversee, for area -operated services and area-contracted 
services , implementation of the following client rights 
protections: 

(1) compliance with G.S. 122C, Article 3; 

(2) compliance with the provisions of 
DMH/DD/SAS publications CLIENT RIGHTS 
IN COMMUNITY MENTAL HEALTH, 
DEVELOPMENTAL DISABILITIES AND 
SUBSTANCE ABUSE SERVICES, APSM 95-2 
and CONFIDENTIALITY RULES, APSM 
45-1, adopted in accordance with G.S. 
150B-14(c); and 



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(3) establishment of a review procedure for any of 
the following which may be brought by a client, 
client advocate, parent, legally responsible 
person, staff or others: 

(A) client grievances; 

(B) alleged violations of the rights of individuals 
or groups, including cases of alleged abuse, 
neglect or exploitation; 

(C) concerns regarding the use of restrictive 
procedures; or 

(D) failure to provide needed services that are 
available in the area program. 

(d) Nothing herein stated shall be interpreted to preclude 
or usurp the statutory authority of a county Department of 
Social Services to conduct an investigation of abuse, neglect, 
or exploitation or the statutory authority of the Governor's 
Advocacy Council for Persons with Disabilities to conduct 
investigations regarding alleged violations of client rights. 

(e) If the area board requires a contract agency to 
establish a Client Rights Committee, that Committee shall 
carry out the provisions of this Rule for the contract agency. 

(f) Each Client Rights Committee shall be composed of 
a majority of non-area board members, with a reasonable 
effort made to have all a pplicable disabilities equally 
represented,, with consumer and family member 
re presentation . Staff who serve on the committee shall not 
be voting members. 

(g) The Client Rights Committee shall maintain minutes 
of its meetings and shall file at least an annual report of its 
activities with the area board. Clients shall not be identified 
by name in minutes or in written or oral reports. 

(h) An area program which contracts for services shall 
delineate in the service contract the authority of the area 
board Cli e nt Righto Committ ee and ito relationship to th e 
oontraot agenoy. The area board Client Rights Committee 
shall review grievances regarding incidents which occur 
within a contract agency after the governing body of the 
agency has reviewed the incident and has had opportunity to 
take action. Incidents of actual or alleged Client Rights 
violations, the facts of the incident, and the action, if any, 
made by the contract agency shall be reported to the area 
director within 30 days of the initial report of the incident, 
and to the area board within 90 days of the initial report of 
the incident. 

Statutory Authority G.S. 122C-64; 143B-147. 

.0505 NOTIFICATION PROCEDURES FOR 
PROVISION OF SERVICES 

(a) If an area program plans to operate or contract for a 
service located within the catchment area of another area 
program, the Director of the area program that plans to 
operate or contract for the service shall notify the Director 
of the area program in which the service is to be located 
prior to the provision of the service. 

(b) The notification shall be in writing and shall include 
the following: 



(1) name of the provider; 

(2) service to be provided; and 

(3) anticipated dates of service. 

In the event of an emergency, notification prior to the 
provision of service may be by telephone with written 
notification occurring the next working day. 

(c) Should a dispute resolution concerning such service as 
described in Paragraph (a) of this Rule be necessary, the 
Division Director shall arbitrate an agreement between the 
respective area programs. 

(d) If the Division plans to operate or contract for a 
service in an area program, the Division Director shall 
notify the Director of the area program in which the service 
is to be located, prior to the provision of the service, 
according to the procedures set forth in Paragraph (b) of this 
Rule. 

Statutory Authority G.S. 122C-U3; 122C-141(b); 122C- 
142(a); 122C-191(d). 

SECTION .0600 - ACCREDITATION OF AREA 
PROGRAMS AND SERVICES 

,0601 GENERAL 

(a) All area program direct and contracted serv i ces shall 

b e aoor e dit e d. Dir e ct ar e a program s e rvic e s shall b e 

accr e dit e d by DMH/DD/SAS. — Contract sorviooG ohall b e 
accredited by the area program. 

(b) Initial accreditation shall include an on site review by 
th e accrediting authority. — Continuing accreditation shall b e 
maintain e d — by — p e riodic — accr e ditation — reviews — of ar e a 
services. 

(c) DMH/DD/SAS funding of area services is contingent 
upon accr e ditation. For n e w o e rvio e o, DMH/DD/SAS may 
authoriz e start up funds p e nding accr e ditation. 

(d) DMH/DD/SAS or the area program, as appropriate, 
may deem a service accredited if the service provides proof 
that it io c e rtifi e d or accr e dit e d by a nationally r e cogniz e d 
body approv e d in advanc e by DMH/DD/SAS. 

(o) DMH/DD/SAS s hall retain the authority to revoke or 
deny accreditation of area program contract services, with 
or without th e concurrenc e of th e ar e a program, ao set forth 
in Rul e .0601 of this S e ction. 

(a) For purposes of this Section, "service" means those 
services described in Sections .1000 through .6900 of these 
Rules, and offered by an area program, either directly or 
through a contract provider, as a required or optional 
service to clients. 

(b) Area programs shall be accredited by DMH/DD/SAS 
to provide specific services according to the Rules in this 
Section. No area program shall provide a service, either 
directly or through a contract provider, unless that specific 
service is accredited, except by reciprocity with another area 
program pursuant to Rule .0606. 

(c) An area program offering an accredited service may 
modify the means by which it delivers the service, including 
adding or changing service providers. DMH/DD/SAS may 



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require an area program to notify it of changes in contract 
provider status. Changes in providers may constitute a 
change in circumstances warranting a reexamination of an 
accredited service pursuant to Rule .0603(e). 

(d) Area programs may receive interim accreditation for 
new services in accordance with Rule .0605. Area 
programs shall maintain accreditation of services through the 
Accreditation Review process described in Rules .0602 and 
.0603. 

(e) DMH/DD/SAS funding of services provided by area 
programs is contingent upon accreditation. 

££} DMH/DD/SAS will no longer accredit contract 
providers. Area programs retain their statutory obligations 
to assure that contract providers comply with State law and 
these Rules, and to monitor the performance of contract 
providers as required by G.S. 122C. 

Statutory Authority G.S. 122C-112; 122C-141(b); 122C- 
142(a); 122C-191(d). 

.0602 ACCREDITATION REVIEW 

(a) The Area Authority shall assure that all area-operated 
and contracted services of an area program comply with 
applicable Federal requirements, General Statutes, and Rules 
of the Commission, the Secretary and DMH/DD/SAS. 

(b) An area program shall be reviewed under the auspices 
of DMH/DD/SAS periodically, and not less than once every 
five years. 

(c) The Accreditation Review will examine each area 
program service for: 

(1) compliance with applicable rules; 

(2) client outcomes; 

(3) achieved levels of client satisfaction; and 

(4) operational and programmatic performance 
meeting applicable prof e ssional standards of 
practice in tho applicable disciplines . 

(d) For purposes of the accreditation process, "applicable 
standards of practice" means a recognized level of 
competence established with reference to the prevailing and 
accepted methods, and the degree of knowledge, skill and 
care exercised, by other practitioners in the same discipline. 

(e) Upon completion of the Accreditation Review, 
DMH/DD/SAS will provide the area authority with an oral 
summary and written report of results. 

Statutory Authority G.S. 122C-U2; 122C-141(b); 122C- 
142(a); 122C-191(d). 

.0603 ACCREDITATION OF THE AREA PROGRAM 

(a) Upon completion of an Accreditation Review, 
DMH/DD/SAS shall accredit the area program for a period 
of between one and five years. The length of the 
accreditation period shall be determined by DMH/DD/SAS 
based on the results of the review and an evaluation of the 
area program's current status, planned changes, and 
anticipated future needs. 

(b) Except as specified by DMH/DD/SAS, accreditation 



of an area program shall conotituto accreditation of tho area 
program o e rvio e o that wor e in op e ration at th e time of tho 
Accr e ditation R e vi e w. DMH/DD/SAS may accredit an area 
program to provide a specific service for a shorter period of 
time than the area progranfs overall accreditation itself . 

(c) An area program or service accreditation of one year 
shall be accompanied by the development of corrective 
action plans for services or operations specified by 
DMH/DD/SAS. a plan for program or service enhancement 
d e v e lop e d jointly by the area program and DMH/DD/SAS. 
These plans shall be developed by the area program, which 
will submit them to DMH/DD/SAS for approval. These 
plans are to be developed and implementation begun within 
ninety days following the accreditation review. 

(d) As a condition of accreditation for more than one 
year, DMH/DD/SAS may require an area program to 
develop and submit plans a plan for corrective action and 
program or service enhancement. The scope and time 
frame for submission of the plans shall be specified by 
DMH/DD/SAS. 

(e) DMH/DD/SAS may s chedule — as4 conduct 
Accreditation Reviews at any time during an accreditation 
period in the event of significant changes in the membership 
of the area board, a change in area director, complaints by 
consumers, consumer organizations and/or advocacy groups, 
failure to submit acceptable corrective action or service 
enhancement plans, failure to implement oompl e t e required 
plans, or other occurrences that suggest a change in 
circumstances warranting a reexamination of the area 
program, its operations, or one or more of the services it 
provides an area program's s e rvic e s . This review may be 
a full Accreditation Review of the area program, or it may 
be limited to selected area program services provided by the 
area program . 

Statutory Authority G.S, 122C-112; 122C-141(b); 122C- 
142(a); 122C-191(d). 

.0604 DENIAL OR REVOCATION OF 
ACCREDrTATION 

(a) Either DMH/DD/SAS or on area program may deny 
or revoke accreditation for an area program service: 

(1) upon confirmation that a service subject to 
licensure is not licensed; 

(2) upon receipt of evidence of a condition that 
DMH/DD/SAS or th e ar e a program determines 
is a threat to the health, safety or welfare of an 
individual served; 

(3) upon an area program's s ervice' s failure to 
complete corrective action or service 
enhancement in accordance with a plan approved 
by DMH/DD/SAS or the area program as 
appropriate ; 

(4) upon a s e rvic e 's failure to participat e in the 

Aoor e ditntion Roviow; 

(4) upon determination that: 

(A) the services rendered are not provided at a 



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recognized, established level of competence in 
the appropriate discipline; 

(B) the area program gov e rning body of th e 
service provider has received notice of the 
deficiencies and a specified time period for 
remedial action ; and 

(C) the area program gov e rning body has failed or 
refused to take appropriate remedial action to 
bring the service to the required level of 
competence^ or 

(5) Upon determination of a pattern of behaviors 
that over time show a failure to maintain a 
recognized, established level of competence in 
the appropriate discipline or show repeated 
threats to or disregard for the health, safety and 
welfare of clients. 

(b) The — area — program — shaH — promptly — notify 

DMH/DD/SAS of any revocation or d e nial of aoor e ditntion 
for a o e rvio e . 

(b) Upon denial or revocation of accreditation for a 
service, DMH/DD/SAS shall take appropriate steps to 
withhold funds for the service pending reaccreditation as set 
forth in the DMH/DD/SAS Accounting Rules. 

Statutory Authority G.S. 122C-112; 122C- 141(b); 122C- 
142(a); 122C-191(d). 

.0605 INTERIM ACCREDITATION FOR NEW 
SERVICES 

(a) An area program desiring to offer a new service may 
receive interim accreditation and start-up or interim funding 
according to the following procedures: 

(1) The area program shall notify DMH/DD/SAS in 
advance of the new service and its anticipated 
date of commencement, and shall provide such 
other information as DMH/DD/SAS may 
specify. 

(2) In its notification, the area program shall offer 
assurances that the service will comply with 
a pplicable standards for accreditation. 

(b) Upon receipt of notification. DMH/DD/SAS will 
deem the new service to have received interim accreditation 
effective as of the anticipated date of commencement. 
Unless revoked pursuant to Rule .0604 of this Section, 
interim accreditation will remain in effect until completion 
of an on-site review of the new service by DMH/DD/SAS. 

(c) After the on-site review. DMH/DD/SAS may accredit 
the new service pursuant to Rule .0603 of this Section for 
a specified period of time, but not beyond the expiration of 
the area program accreditation, or it may deny accreditation 
pursuant to Rule .0604 of this Section. 

Statutory Authority G.S. 122C-112; 122C-1 41(b); 122C- 
142(a); 122C- 191(d). 

.0606 RECIPROCITY 

(a) By agreement between area programs, one area 



program may place clients with another area program's 
accredited service to provide that service without obtaining 
its own accreditation to provide that service. 

(b) Nothing herein shall be deemed to relieve any area 
program of its responsibility to monitor contract service 
providers pursuant to G.S. £ 122C-141 and -142. 

Statutory Authority G.S. 122C-112; 122C-141(b); 122C- 
142(a); 122C-1 91(d). 

.0607 PURCHASE OF SERVICE AND CAPITATION 
CONTRACTS 

(a) In the case of services provided pursuant to purchase 
of service or capitation contracts with individuals or groups 
of individuals licensed under other provisions of state law 
and who are not facilities requiring licensing under these 
Rules or G.S. 122C, area programs may exempt the 
contract providers from complying with the requirements of 
Section .0200 of these Rules, except for Rules .0203. .0204. 
.0207, and .0208 of this Subchapter. 

(b) For purposes of this Rule, "capitation contract" means 
a contract in which the provider is paid a specified flat rate 
per enrollee to meet clients' service needs within the 
parameters of the contract. 

(c) For purposes of this Rule, "purchase of service 
contract" means a contract in which the provider is paid an 
agreed-upon rate for a specific service as the service is 
rendered. 

Statutory Authority G.S. 122C-112; 122C-141(b); 122C- 
142(a); 122C-1 91(d). 

SECTION .0700 - WAIVERS AND APPEALS 

.0701 SUBMISSION OF REQUESTS FOR WAIVERS 
OF RULES 

Requests for waivers shall be sent to the Division 
Director, Division of Mental Health, Developmental 
Disabilities, and Substance Abuse Services, 325 North 
Salisbury Street, Raleigh, North Carolina 27603. 

Statutory Authority G.S. 122C-1 12(a)(8); 1 43 B- 147 (a) (8). 

.0702 CONTENTS OF WAIVER REQUESTS 

Except as provided in Rule .0706 of this Section, waiver 
requests shall be in writing and shall contain: 

(1) the name, address and telephone number of the 
person making the request; 

(2) the name, address and telephone number of the 
facility, program, agency or other entity for which 
the waiver is requested; 

(3) the rule number and title of any rule for which the 
waiver is requested; 

(4) a statement of facts including: 

(a) the reason for the request; 

(b) the nature and extent of the request; and 

(c) confirmation that the health, safety or welfare of 



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PROPOSED RULES 



clients will not be threatened; 

(5) the time frame for which the waiver is requested; 
and 

(6) authorization for the waiver request and the date 
of such authorization. If from: 

(a) a facility operated by an area program, area 
board authorization; 

(b) a contract agency (of area programs) proof of 
recommendation by area board and proof of 
contract agency governing body approval; 

(c) a private facility, authorization by the governing 
body; and 

(d) the Department of Correction, Division of 
Prisons, authorization by the Director of the 
Division of Prisons. 

Statutory Authority G.S. 122C-1 12(a)(8); 143B- 147(a)(8). 

.0703 PROCEDURE FOR WAIVERS BY 
COMMISSION 

If any rule for which waiver is requested was adopted 
pursuant to the rule-making authority of the Commission, 
the procedures set forth in this Rule shall be followed: 

(1) The person requesting the waiver shall be notified, 
regarding the time and place of the meeting at 
which the Commission will vote upon the waiver 
request. At the discretion of the Chairman of the 
Commission, the person requesting the waiver and 
any other interested person may be given the 
opportunity to speak regarding the waiver request 

(2) Decisions regarding waiver requests shall be based 
upon, but not limited to, the following: 

(a) the nature, extent, and rationale of the request; 
and 

(b) safeguards to ensure that the health, safety or 
welfare of clients will not be threatened. 

(3) The Commission's decision shall be issued in 
writing by the Chairman of the Commission and 
shall state: 

(a) the factual situation giving rise to the waiver 
request; 

(b) the decision that the waiver request was granted, 
or granted subject to certain conditions; 

(c) the time frame, if the waiver is granted; and 

(d) the reason, if the waiver request was denied. 

(4) The waiver may be granted retroactively: 

(a) to the date of the authorization as described in 
Item (6) of Rule .0702 of this Section; or 

(b) to the time frame requested by the Division 
Director if the waiver is submitted in accordance 
with Rule .0706 of this Section. 

Statutory Authority G.S. 143B-147(a)(8). 

.0704 WAIVERS REQUESTED BY COMMISSION 

(a) Any member of the Commission may initiate a request 
for waiver of any rule adopted pursuant to the rule-making 



authority of the Commission, or the rule-making authority 
delegated to the Division Director by the Secretary as 
described in this Section. 

(b) In requesting a waiver on behalf of one or more 
agencies or services, the Commission member is subject to 
Subitems (SXa) and (b) of Rule .0706 of this Section. 

Statutory A.uthority G.S. 143B-147(a)(8). 

.0705 PROCEDURE FOR WAIVERS BY DrVISION 
DIRECTOR 

If the rule for which waiver is requested was adopted 
pursuant to the rule-making authority delegated to the 
Division Director by the Secretary, the procedures set forth 
in this Rule shall be followed: 

(1) Decisions regarding waiver requests shall be based 
upon, but not limited to, the criteria in Item (2) of 
Rule .0703 of this Section. 

(2) A decision regarding the waiver request shall be 
issued in writing by the Division Director within 
60 days from the date of receipt of the waiver 
request and shall state: 

(a) the factual situation giving rise to the waiver 
request; 

(b) the reasons why the request was granted, 
granted subject to certain conditions, or denied; 
and 

(c) if granted, the time frame for which the waiver 
is granted. 

(3) The waiver may be granted retroactively to the 
date of the authorization of the governing body as 
described in Item (6) of Rule .0702 of this Section 
or to the time frame requested by the Division 
Director if the waiver is submitted in accordance 
with Rule .0706 of this Section. 

Statutory Authority G.S. 122C-1 12(a)(8). 

.0706 WAIVERS REQUESTED BY DIVISION 
DIRECTOR 

The Division Director may initiate a request for waiver of 
rules adopted pursuant to the rule-making authority of the 
Commission as described in this Section. 

(1) Except when requesting a waiver on behalf of one 
or more agencies or services, the Division 
Director is exempt from the provisions of Items 
(2) and (6) of Rule .0702 of this Section. 

(2) Instead, the Division Director shall list the types 
of agencies or services for which the waiver is 
requested. 

Statutory Authority G.S. 122C-1 12(a)(8). 

.0707 SPECIAL REQUESTS 

(a) The Commission or Division Director may approve 
one or more lists of conditions under which an agency may 
make a special waiver request. 



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(b) In addition to all Rules of this Section, any agency 
making a special request for waiver of specified rules shall: 

(1) address the relevant list of conditions; and 

(2) obtain Division approval of the proposed 
alternative system of policy and procedures prior 
to action by either the Commission or Division 
Director. 

(c) The Commission or Division Director may grant or 
deny waiver of specified rules upon receipt of an agency's 
special request submitted in accordance with the rules of this 
Section. 

Statutory Authority G.S. 143B-147(a)(8). 

.0708 APPEALS PROCEDURES FOR CONTRACT 
PROVIDERS 

(a) Pursuant to G.S. 122C-151.3, an area authority shall 
establish written procedures for the resolution of disputes 
regarding decisions of an area authority with a contractor, 
former contractor client or person asserting the claims 
described in G.S. 122C-151.4. 

(b) Decisions may be appealed to the Area Authority 
Appeals Panel as set forth in this Section. 

Statutory Authority G.S. 122C-112; 122C-151.3; 122C- 
151.4. 

.0709 ESTABLISHMENT OF AN AREA 
AUTHORTrY APPEALS PANEL 

(a) Pursuant to G.S. 122C-15 1.4(b), the Area Authority 
Appeals Panel, hereafter referred to as "the Panel," shall 
consist of three members who shall: 

(1) be appointed by the Division Director and serve 
at the pleasure of the Secretary; and 

(2) have education and experience relevant to the 
appeals process, as determined by the Division 
Director. 

(b) The Division Director shall appoint the Chair man of 
the Panel. 

(c) Clerical support for the Panel shall be provided by the 
Division. 

Statutory Authority G.S. 122C-112(a); 122C-151.4. 

.0710 PANEL APPEALS PROCEDURES 

(a) Appeals of the decision of local area authorities shall 
be forwarded, along with all supplementary documentation 
considered during the local area appeals process, to the 
Division Director within 15 days of the local decision being 
rendered. 

(b) The Division Director shall forward all information to 
the Chair man of the Panel within five working days. 

(c) The Panel shall complete an administrative review and 
notify the appealing party and the area program of its 
decision, in writing, within 15 days of receipt of the appeal. 
Unless further appealed within 15 days of the date of this 
decision, this decision shall be considered final. 



(d) Either party named in the appeal may request a 
hearing by the Panel before the Panel's administrative 
decision is considered to be final by submitting a written 
request to the Chair man of the Panel within 15 days of the 
date of the administrative review decision. 

(e) A hearing shall be scheduled by the Panel no more 
than 30 days after a written request for a hearing is received 
by the Chair man . 

(f) The hearing shall be scheduled at a time and place 
designated by the Chair man . 

(g) The appealing party and the area program shall be 
notified of the time and place of the hearing no less than 15 
days prior to the hearing. 

Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 

.0711 HEARING PROCEDURES 

(a) The Chair man of the Panel: 

(1) will convene the meeting at the prearranged time 
and place; 

(2) may afford the opportunity for rebuttal and 
summary comments to either of the presenting 
parties; 

(3) may limit the total number of persons presenting 
for the appellant and appellee; and 

(4) may impose time limits for presentations. 

(b) The official representative of the appellant and 
appellee shall: 

(1) specify by name and position all individuals who 
will be present for the hearing; 

(2) provide the Panel with any requested 
information; and 

(3) if appropriate, ensure that a representative of the 
appellant and appellee will be available at the 
hearing to make a presentation. 

(c) Any member of the Panel may address questions to 
the representatives of the appellant or of the appellee. 

(d) All persons present at the appeal will address only the 
Chair man or a specific member of the Panel who has 
addressed a specific question to that individual. 

(e) Direct exchanges between presenters for the appellant 
and the appellee shall be prohibited. 

(0 The Panel may obtain any form of technical assistance 
or consultation relevant to the appeal. 

Statutory Authority G.S. 122C- 112(a); 122C-151.4. 

.0712 PANEL DECISIONS 

(a) The Panel shall vote in open session on each specific 
item being appealed. 

(b) Within five working days, each decision shall be 
conveyed in writing to the appealing party and the area 
authority. 

(c) Any decision may be rescheduled for a subsequent 
meeting if the Panel determines that it lacks sufficient 
information to render a decision at the initial hearing. 

(d) In all cases a final decision shall be rendered within 



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PROPOSED RULES 



30 days of the written request for a hearing. 
Statutory Authority G.S. 122C-1 12(a); 122C-151.4. 

.0713 WAIVER OF LICENSURE RULES 

(a) the Director of DFS may waive any of these Rules 
related to licensure requirements. The decision to grant or 
deny the waiver request shall be based on, but not limited 
to, the following: 






l2i 



the nature and extent of the request; 

the existence of safeguards to ensure that the 

health, safety, or welfare of the clients will not 

be threatened; 

the determination that the waiver will not affect 

the health, safety, or welfare of clients; 

the existence of good cause; and 

documentation of area board approval when 

requests are from area programs and contract 

agencies of area programs, or documentation of 

governing body a pproval when requests are from 

private facilities not contracting with area 

programs. 

(b) Requests for waivers shall be sent to the Director of 
DFS, 701 Barbour Drive, Raleigh, North Carolina 27603. 

(c) The request shall be in writing and shall contain: 
the name, address and telephone number of the 
requester; 

the name, address and telephone number of the 
facility for which the waiver is requested; 
the rule number and title of the rule or 



LU 
L4J 



requirements for which waiver is being sought; 
a statement of facts showing: 

(A) reason for, and the nature and extent of. the 
request; and 

(B) that the health, safety or welfare of clients will 
not be threatened. 

(5) documentation of area board a pproval when 

requests are from area programs and contract 

agencies of area programs, or documentation of 

governing board a pproval when requests are 

from private facilities not contracting with area 

programs. 

(d) Prior to issuing a decision on the waiver request, the 

Director of DFS shall consult with the Director of 

DMH/DD/SAS; and may also request additional information 

or consult with additional parties as appropriate. 

(s) A decision regarding the waiver request shall be 
issued in writing by the Director of DFS and shall state the 
reasons why the request was granted or denied and any 
special conditions relating to the request. A copy of the 
decision shall be sent to the Director of DMH/DD/SAS. If 
the rule in question was adopted by the commission, the 
Director of DMH/DD/SAS shall send a copy of the decision 
to all commission members. 

(f) The decision of the Director of DFS regarding a 
waiver request may be appealed to the Commission through 
the contested case process set out in H) NCAC 14B .0300. 



The a ppeal shall be in writing and shall be filed within 60 
days of receipt of the decision regarding the waiver request. 
(g) Waivers shall not exceed the expiration date of the 
current license and shall be subject to renewal consideration 
upon the request of the licensee. 

Statutory Authority G.S. 122C-23(f); 122C-26(4); 122C- 
27(9); 143B-147. 

SECTION .0800 - GENERAL RULES FOR INFANTS 
AND TODDLERS 

.0801 SCOPE 

The Rules in this Section shall apply to any facility which 
serves infants and toddlers with or at risk for developmental 
disabilities, delays or atypical development , oxoopt for 
roapito . 

Statutory Authority G.S. 122C-26; 143B-147. 

.0802 DEFINITIONS 

In addition to the definitions contained in G.S. 122C-3 and 
Rule .0103 of this Subchapter, the following definitions 
shall also apply: 

(1) "Atypical development" in children means those 
from birth to 60 months of age who: 

(a) have autism; 

(b) are diagnosed hyperactive; 

(c) have an attention deficit disorder or other 
behavioral disorders; or 

(d) exhibit evidence of, or are at risk for, atypical 
patterns of behavior and social-emotional 
development in one or more of the following 
areas: 

(i) delays or abnormalities in achieving emotional 

milestones; 
(ii) difficulties with: 

(A) attachment and interactions with parents, 
other adults, peers, materials and objects; 

(B) ability to communicate emotional needs; 

(C) motor or sensory development; 

(D) ability to tolerate frustration and control 
behavior; or 

(E) ability to inhibit aggression; 

(iii) fearfulness, withdrawal, or other distress that 

does not respond to the comforting of 

caregivers; 
(iv) indiscriminate sociability; for example, 

excessive familiarity with relative strangers; 
(v) self-injurious or other aggressive behavior; 
(vi) substantiated evidence that raises concern for 

the child's emotional well-being regarding: 

(A) physical abuse; 

(B) sexual abuse; or 

(C) other environmental situations; 
as defined in G.S. 7A-517(1) and (21). 

(2) "Developmentally delayed children" means those 



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PROPOSED RULES 



I 



) 



) 



whose development is delayed in one or more of 
the following areas: cognitive development; 
physical development, including vision and 
hearing; communication, social and emotional; and 
adaptive skills. The specific level of delay must 
be: 

(a) for children from birth to 36 months of age, 
documented by scores one and one-half standard 
deviations below the mean on standardized tests 
in at least one of the above areas of 
development. Or, it may be documented by a 
20 percent delay on assessment instruments that 
yield scores in months; and 

(b) for children from 36 to 60 months of age, 
documented by test performance two standard 
deviations below the mean on standardized tests 
in one area of development or by performance 
that is one standard deviation below the norm in 
two areas of development. Or, it may be 
documented by a 25 percent delay in two areas 
on assessment instruments that yield scores in 
months. 

(3) "Early Intervention Services" means those services 
provided for infants and toddlers specified in 
Section 303.12 of Subpart A of Part 303 of Title 
34 of the Code of Federal Regulations, published 
1/1/92 and incorporated by reference. This 
adoption by reference includes subsequent 
amendments and editions of the referenced 
material, which may be obtained at no cost from 
the Branch Head, Child and Adolescent Services, 
Developmental Disabilities Section, Division of 
MH/DD/SAS, 325 N. Salisbury Street, Raleigh, 
NC 27603. 

(a) For the purposes of these services, 
"transportation" means assistance in the travel to 
and from the multidisciplinary evaluation, 
specified early intervention services provided by 
certified developmental day centers or other 
center-based services designed specifically for 
children with or at risk for disabilities; and 
speech, physical or occupational therapy, or 
other early intervention services if provided in a 
specialized setting away from the child's 
residence. 

(b) Transportation assistance may be provided by 
staff, existing public or private services, or by 
the family, who shall be reimbursed for their 
expenses, in accordance with applicable fee 
provisions. 

(c) For the purposes of these services, "special 
instruction" means individually designed 
education and training in the strengths and needs 
of the child and family as identified in the 
multidisciplinary evaluation, in which the focus 
is on the major developmental areas and 
individual family needs. It occurs in two 



primary types of settings; home and 

mainstreamed center-based: 
(i) The mainstreamed center-based settings may 
be those designed primarily for children with 
or at risk for disabilities, such as 
developmental day centers or therapeutic 
preschools, if they allow for planned and 
ongoing contact with children without 
disabilities, 
(ii) Mainstreamed center-based settings also 
include those established primarily for children 
without disabilities, such as preschools, family 
day care homes, licensed child care centers: 

(A) when provided in these programs, special 
instruction also includes consultation and 
training for staff on curriculum design, 
teaching and behavior management 
strategies, and approaches to modification 
of the environment to promote learning; 
and 

(B) service coordination activities, including 
assistance to the family in identifying such 
programs must be provided with special 
instruction, if requested by the family. 

(4) "Health Services" means those services provided 
for infants and toddlers specified in Section 
303. 13 of Subpart A of Part 303 of Title 34 of the 
Code of Federal Regulations, published 6/22/89 
and incorporated by reference. This incorporation 
by reference does not include subsequent 
amendments and editions of the referenced 
materia], 

(5) "High risk children" means those from birth to 36 
months of age for whom there is clinical evidence 
of conditions which have a high probability of 
resulting in developmental delay or atypical 
development and for whom there is clinical 
evidence that developmental or therapeutic 
intervention may be necessary. There are two 
categories of high risk children. These are: 

(a) High Risk-Established: Diagnosed or 

documented physical or mental conditions which 
are known to result in developmental delay or 
atypical development as the child matures. Such 
conditions include, but need not be limited to the 
following: 
(i) chromosomal anomaly or genetic disorders 
associated with developmental deficits; 



(ii) 
(iii) 

(iv) 

(v) 

(vi) 

(vii) 

(viii) 



associated with 



metabolic disorders 

developmental deficits; 

infectious diseases associated 

developmental deficits; 

neurologic disorders; 

congenital malformations; 

sensory disorders; or 

toxic exposure; or 

severe attachment disorders. 



with 



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PROPOSED RULES 



(b) 



(i 

(ii 
(iii 

(iv 

(v 

(vi 
(vii 

(viii 

(ix 

(x 

(xi 

(xii 

(xiii 

(xiv 
(xv 

(xvi 
(xvii 

(xviii 

(xix 

(xx 

(xxi 

(xxii 

(xxiii 

(xxiv 

(xxv 

(xxvi 

(xxvii 

(xxviii 

(xxix 

(xxx 
(xxxi 



High Risk-Potential: Documented presence of 
indicators which are associated with patterns of 
development and which have a high probability 
of meeting the criteria for developmental delay 
or atypical development as the child matures. 
There shall be documentation of at least three of 
the parental or family, neonatal, or postneonatal 
risk conditions as defined on page 12 in the 
1990 publication, "NORTH CAROLINA 
CHILD SERVICE COORDINATION 

PROGRAM" available from the Division of 
Maternal and Child Health, Department of 
Environment, Health and Natural Resources, 
P.O. Box 27687, Raleigh, NC 27611-7687 and 
incorporated by reference. This incorporation 
by reference does not include subsequent 
amendments and editions of the referenced 
material. These conditions are as follows: 

maternal age less than 15 years; 

maternal PKU; 

mother HIV positive; 

maternal use of anticonvulsant, antineoplastic 

or anticoagulant drugs; 

parental blindness; 

parental substance abuse; 

parental mental retardation; 

parental mental illness; 

difficulty in parental or infant bonding; 

difficulty in providing basic parenting; 

lack of stable housing; 

lack of familial and social support; 

family history of childhood deafness; 

maternal hepatitis B; 

birth weight less than 1500 grams; 

gestational age less than 32 weeks; 

respiratory distress (mechanical ventilator 

greater than six hours); 

asphyxia; 

hypoglycemia (less than 25 mg/dl); 

hyperbilirubinemia (greater than 20 mg/dl); 

intracranial hemorrhage; 

neonatal seizures; 

major congenital anomalies; 

CNS infection or trauma; 

congenitally acquired infection; 

suspected visual impairment; 

suspected hearing impairment; 

no well child care by age six months; 

failure on standard developmental or sensory 

screening test; 

significant parental concern; and 

suspected abuse or neglect. 



Statutory Authority G.S. 122C-3; 122C-26; 143B-147. 

.0803 GENERAL REQUIREMENTS FOR INFANTS 
AND TODDLERS 



For all facilities serving infants and toddlers with or at 
risk for developmental disabilities, delays or atypical 
development, except for respite, there shall be: 

(1) an assessment which includes: 

(a) physical (including vision and hearing), 
communication, cognitive, social and emotional 
and adaptive skills development, and the 
requirements set forth in 34 C.F.R. Part 
303.344 (a)(2); 

(b) a determination of the child's unique strengths 
and needs in terms of these areas of 
development and identification of services 
appropriate to meet those needs; 

(c) if requested by the family, a determination of 
the resources, priorities and concerns of the 
family, and the supports and services necessary 
to enhance the family's capacity to meet the 
developmental needs of their infant or toddler 
with or at risk for a disability. The 
family-focused and directed assessment shall be 
based on information provided through a 
personal interview and incorporate the family's 
description of these resources, priorities, and 
concerns in this area; 

(d) procedures developed and implemented to ensure 
participation by the client's family or the legally 
responsible person; 

(e) no single procedure used as the sole criterion for 
determining a child's eligibility; 

(f) an integrated assessment process which involves 
at least two persons, each representing a 
different discipline or profession, with the 
specific number and types of disciplines based 
on the particular needs of the child: 

(i) The assessment shall include current medical 
information provided by a physician, 
physician's assistant, or nurse practitioner; 
however, a physician, physician's assistant, or 
nurse practitioner is not required as one of the 
disciplines involved in the assessment; and 

(ii) Further information regarding the assessment 
may be found in the document " North 
Carolina Infant-Toddler Program Manual." 
"Eligibility — Determination — for the Infanta 

Toddlor Program", published — by the 

Department — of Environm e nt, — H e alth, — and 
Natural Reoourooo, — a»d— available from the 
Developmental Disabilities Section of 
DMH/DD/SAS at no cost upon request. 

(g) an evaluation process based on informed clinical 
opinion; 

(h) an assessment process completed within 45 
calendar days from the date of referral. The 
referral shall be initiated by a request for these 
services made to any one of the public agencies 
participating in the Part H of the Individuals 
with Disabilities Education Act Interagency 



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> 



> 



> 



Agreement. The request shall become a referral 

when the area program determines that all of the 

following is available: 

(i) sufficient background information to enable the 

agency receiving the referral to establish 

communication through a telephone call or 

home visit; 

(ii) reason for referral, date of referral and agency 

or individual making referral; 
(iii) child and family identifying information such 
as names, child's birthdate and primary 
physician; and 
(iv) summary of any pre-existing child and family 
screening or assessment information; 
(i) a 45 calendar day completion requirement which 
may be extended in exceptional circumstances, 
such as, the child's health assessment is being 
completed out-of-state, or family desires make it 
impossible to complete the assessment within the 
time period. The specific nature and duration of 
these circumstances which prevent completion 
within 45 days and the attempts made by the 
provider to complete the assessment shall be 
documented and an interim Individualized 
Family Service Plan IFSP shall be developed 
and implemented; and 
(j) the child's family or legally responsible person 
shall be fully informed of the results of the 
assessment process. 
(2) There shall be a habitation plan which is referred 
to as the Individualized Family Service Plan 
(IFSP) which shall include: 

(a) a description of the child's present health status 
and levels of physical (including vision and 
hearing), communication, cognitive, social and 
emotional, and adaptive development; 

(b) with the concurrence of the family, a description 
of the resources, priorities and concerns of the 
family and the supports and services necessary 
to enhance the family's capacity to meet the 
developmental needs of their infant and toddler 
with or at risk for a disability; 

(c) goals for the child, and, if requested, goals for 
the child's family; 

(d) criteria and time frames to be used to determine 
progress towards goals; 

(e) planned habilitation procedures related to the 
goals; 

(f) a statement of the specific early intervention 
services to be provided to meet the identified 
child and family needs, the initiation dates, 
frequency and method, duration, intensity and 
location (including the most natural environment) 
of service delivery, and the persons or agencies 
responsible; 

(g) the name of the service coordinator from the 
profession most immediately relevant to the 



needs of the child or family; and who is 
otherwise qualified to carry out all applicable 
responsibilities for coordinating with other 
agencies and individuals the implementation of 
the IFSP; 

(h) the plans for transition into services which are 
the responsibility of the NC Department of 
Public Instruction, or other available services, 
when applicable; 

(i) the payment arrangements for the specific 
services delineated in Sub-Item £f) of this Item 
(3)(c)(vi) of this Rule ; 

(j) a description of medical and other services 
needed by the child, but which are not required 
under Part H of the Individuals with Disabilities 
Education Act, and the strategies to be pursued 
to secure those services through public or 
private resources. The requirement regarding 
medical services does not apply to routine 
medical services, such as immunization and 
well-baby care, unless the child needs these 
services and they are not otherwise available. 
(3) The IFSP shall be: 

(a) reviewed on at least a semi-annual basis or more 
frequently upon the family's request; 

(b) revised as appropriate, but at least annually; and 

(c) include in the initial development and annual 
revision process for the IFSP for infants and 
toddlers, participation by: 

(i) the parent or parents of the child; 
(ii) other family members, as requested by the 

parent; 
(iii) an advocate or person outside of the family if 

the parent requests participation; 
(iv) the provider of the early intervention services; 
(v) the service coordinator designated for the 

family, if different from the provider of the 

early intervention services; and 
(vi) the provider of the assessment service, if 

different from the provider of the early 

intervention services. 

(d) The initial IFSP meeting and annual reviews 
shall be arranged and written notice provided to 
families early enough to promote maximum 
opportunities for attendance. The semi-annual 
review process shall include participation by 
persons identified in Subparagraphs (3)(c)(i) 
through (v) of this Rule. If any of these 
assessment and intervention providers are unable 
to attend one of the development or review 
meetings, arrangements may be made for the 
person's involvement through other means such 
as participation in a telephone conference call, 
having a knowledgeable authorized 
representative attend the meeting or making 
pertinent records available at the meeting. Such 
arrangements must be approved by all of the 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1107 



PROPOSED RULES 



participants. 

(e) The IFSP for infants and toddlers shall be based 
upon the results of the assessment referenced in 
Paragraph (1) of this Rule and upon information 
from any ongoing assessment of the child and 
family. However, early intervention services 
may commence before completion of this 
assessment if: 

(i) parental consent is obtained; and 
(ii) the assessment is completed within the 45-day 

time period referenced in Paragraph (a) of this 

Rule. 

(f) In the event that exceptional circumstances, such 
as child illness, residence change of family, or 
any other similar emergency, make it impossible 
to complete the assessment within the 45-day 
time period referenced in Paragraph (1) of this 
Rule, the circumstances shall be documented and 
an interim IFSP developed with parent 
permission. The interim IFSP shall include: 

(i) the name of the service coordinator who will 
be responsible for the implementation of the 
IFSP and coordination with other agencies and 
individuals; 

(ii) goals for the child and family when 
recommended; 

(iii) those early intervention services that are 
needed immediately; and 

(iv) suggested activities that may be carried out by 
the family members. 

(g) Each facility or individual who has a direct role 
in the provision of early intervention services 
specified in the IFSP is responsible for making 
a good faith effort to assist each eligible child in 
achieving the goals set forth in the IFSP. 

(h) The IFSP shall be developed within 45 days of 
referral for those children determined to be 
eligible. The referral shall be as defined in 
Subparagraph (l)(n) of this Rule. 

(i) The contents of the IFSP shall be fully explained 
to the parents, and informed written consent 
from the parents shall be obtained prior to the 
provision of early intervention services described 
in the plan. If the parents do not provide 
consent with respect to a particular early 
intervention service, or withdraw consent after 
first providing it, that service shall not be 
provided. The early intervention services for 
which parental consent is obtained must be 
provided. 

(j) IFSP meetings shall be conducted in settings 

convenient to and in the natural language of the 

family. 

(4) The Federal Regulation C.F.R. incorporated by 

reference in this Rule includes subsequent 

amendments and editions of the referenced 

material. A copy of the Federal Regulation 



C.F.R. is available 
DMH/DD/SAS. 



at 



no cost from 



Statutory Authority G.S. 122C-26; 143B-147. 

.0804 SURROGATE PARENTS 

(a) Circumstances Requiring Surrogate Parents. The area 
program shall assure the availability of a surrogate parent 
for infants and toddlers eligible for early intervention 
services when: 

(1) a biological parent or guardian cannot be 
identified; 

(2) efforts to locate the parent are unsuccessful; or 

(3) the child is involved in a voluntary placement 
agreement or is placed in protective custody 
through the local Department of Social Services. 

(b) Identifying Need For And Selection Of A Surrogate 
Parent: 

( 1 ) The child service coordinator shall be 
responsible for identifying the need for a 
surrogate parent. 

(2) Identification shall be based on any pertinent 
information and input from: 

(A) the local Department of Social Services; and 

(B) anyone serving on the Infant/Toddler 
Interagency Council. 

(3) The Area Program Director, or a designee, 
serving the county of the child's legal residence 
shall select the surrogate parent. 

(c) Responsibilities Of A Surrogate Parent. A surrogate 
parent shall have the responsibility of being an active 
spokesperson for a child in matters related to the: 

(1) evaluation and assessment of the child; 

(2) development and implementation of the child's 
IFSP, including annual evaluations and periodic 
reviews; and 

(3) ongoing provision of early intervention services 
to the child. 

(d) Priorities For Selection Of A Surrogate Parent: 

(1) The area program shall make every effort to 
select a surrogate parent who has close ties to 
the child. 

(2) In instances when children are placed in foster 
care or in the care of another individual, the 
biological parents or guardian shall be given first 
consideration to act as the surrogate parent. 

(3) The following order of priority shall then be 
considered when selecting the surrogate parent: 

(A) person "acting as a parent" - A grandparent, 
governess, neighbor, friend, or private 
individual who is caring for the child; 

(B) interested relative; 

(C) foster parent; 

(D) friend of the child's family; or 

(E) other individuals. 

(4) Approval of the selection of the surrogate 
parents shall be obtained from either the 



1108 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



biological parents or guardian. 

(e) Criteria For Selection Process. Anyone who serves 
as a surrogate parent shall: 

(1) not have conflicting interests with those of the 
child who is represented; 

(2) have knowledge and skills that ensure the best 
possible representation of the child; 

(3) not have any prior history of abuse or neglect; 
or 

(4) not be an employee of the agency involved in 
the provision of early intervention or other 
services for the child. However, a person who 
otherwise qualifies to be a surrogate parent is 
not considered an employee based on being paid 
by a public agency to serve as a surrogate or 
foster parent. 

(f) Training Requirements For A Surrogate Parent: 

(1) Anyone who serves as a surrogate parent, and is 
not related to the child, shall have participated in 
training provided by or approved by the area 
mental health, developmental disabilities and 
substance abuse program. 

(2) Training shall include, but not be limited to, the 
following topics: 

Part H of the Individuals with Disabilities 

Education Act. regarding parents' rights. 

entitlements for children, and services offered; 

developmental and emotional needs of eligible 

infants and toddlers; 

available advocacy services; and 

relevant cultural issues if the child's culture is 

different from that of the surrogate parent. 

(3) The level of training approach shall be based on 
needs of the surrogate parent, as determined by 
the surrogate parent in conjunction with the area 
program. 

Statutory Authority G.S. 143B-147; 20 U.S.C. Sections 1401 
et. seq. , 1471 et. seq. 

.0805 PROCEDURAL REQUIREMENTS 

(a) General Area Program Requirements. Area programs 
and contract agencies shall comply with Section 303.402 of 
Subpart E of Part 303 of Title 34 of the Code of Federal 
Regulations relating to: 

(1) the right of the parents of an eligible child to 
examine records. 

(2) the requirement of prior notice to parents of an 
eligible child in the parents' native language. 

(3) the requirement of parental consent. The period 
of reasonable time referenced in 303.403(a) shall 
be construed to be no less than two weeks. 

(4) early intervention services (infants and toddlers 
referred for services shall be assessed in 
accordance with the provisions of Rule .0803 of 
this Subchapter, admitted in accordance with the 
provisions of Subparagraphs (a)(3) and (4) of 



(A) 



(B) 

(Q 
(D) 



Rule .0201 of this Subchapter, and receive 
services in accordance with the provisions of 
Rule .0803 of this Subchapter: and 
(5) surrogate parents. 
As used in this Section, the following terms shall have the 
meanings specified in Section 303.401 of Subpart E of Part 
303 of Title 34 of the Code of Federal Regulations: 
"Consent", "Native Language". "Personally identifiable". 
(b) Complaint Resolution/Mediation: 

(1) Parents of an eligible child shall have the right 
to a timely administrative resolution of any 
complaints concerning an area program's or 
contract agency's proposal or refusal to initiate 
or change the identification, evaluation or 
placement of the child, or concerning the 
provision of appropriate early intervention 
services to the child and the child's family. The 
parents of an eligible child shall also have the 
right to mediation of such complaints. 

(2) Whenever an area program or contract agency 
becomes aware that the parents of an eligible 
child disagree with any decision regarding early 
intervention services for their child, the area 
program or contract agency, whichever is 
appropriate, shall immediately advise the parents 
regarding the availability of, and procedure for, 
requesting complaint resolution under this 
Section. 

(3) A request by parents of an eligible child for 
administrative resolution or mediation of a 
complaint shall be in writing and sent to the 
Director of the area program in which the 
eligible child is receiving services. 

(4) A request by parents of an eligible child for 
administrative resolution or mediation of a 
complaint shall contain the following: 

name and address of the child; 

name and address of the parent; 

name and address of the area program or 

contract agency against whom the complaint is 

made; 

a statement of facts describing in sufficient 

detail the nature of the complaint; 

the signature of the complaining parent and the 

date of signing; and 

whether the parent desires mediation prior to 

the administrative resolution of his complaint. 

(5) Parents of an eligible child may request 
mediation to resolve a complaint as an 
intervening step prior to the administrative 
proceeding. If mediation is requested, the 
mediation shall take place prior to the 
administrative proceeding. 

(6) If mediation or administrative proceeding is 
requested, an impartial person shall be: 

(A) subject to qualifications of an impartial person 
as specified in Section 303.421 of Subpart E of 



(A) 
(B) 
(C) 



(D) 



(E) 



(F) 



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NORTH CAROLINA REGISTER 



October 2, 1995 



1109 



PROPOSED RULES 



Part 303 of Title 34 of the Code of Federal 
Regulations and incorporated by reference. 
This incorporation by reference shall include 
any subsequent amendment and editions of the 
referenced material. 

(B) selected from a list of mediators and 
administrative hearing officers approved by the 
Chief of the Developmental Disabilities Section 
of DMH/DD/SAS; and 

(C) appointed by the area director to serve as a 
mediator; 

(7) DMH/DD/SAS shall provide a training program 
for the mediators and the administrative hearing 
officers. 

(8) Mediation may not be used to deny or delay a 
parent's right to speedy complaint resolution. 
The mediation, administrative proceeding and 
written decision must be completed within the 
30-day timeline set forth in Paragraph (f) of this 
Rule .0917 of this Section . 

(c) Scheduling Administrative Proceedings. Upon receipt 
of written request for administrative complaint resolution, 
the Director of the area program in which the eligible child 
is receiving services shall schedule an administrative 
proceeding in accordance with the requirements of this 
Section. The parents shall be notified in writing of the date, 
time and location of the proceeding no later than seven 
calendar days prior to the hearing by the area director. The 
hearings must be scheduled at a time and place that is 
reasonably convenient to the parents. 

(d) Authority And Responsibilities Of Impartial Person: 

(1) The hearing officer shall have the powers listed 
in G.S. 150B-33, and in addition shall have the 
following authority: 

(A) to establish reasonable time limitations on the 
parties' presentations; 

(B) to disallow irrelevant, immaterial or repetitive 
evidence; 

(C) to direct that additional evaluations of the child 
be performed; 

(D) to make findings of fact and conclusions of 
law relevant to the issues involved in the 
hearing; 

(E) to issue subpoenas for the attendance of 
witnesses or the production of documents; and 

(F) to specify the type and scope of the early 
intervention services to be offered the child, 
where the proposed services are found to be 
inappropriate. 

(2) The hearing officer does not have the authority 
to: 

(A) determine that only a specific program, 
specific early intervention staff person or 
specific service provider is appropriate for the 
pupil; or 

(B) determine noncompliance with state law and 
regulations. 



(3) The decision of the hearing officer shall be in 
writing and shall contain findings of fact, 
conclusions of law and the reasons for the 
decision. The hearing officer shall mail a copy 
of the decision to each party by certified mail, 
return receipt requested. 

(4) The hearing officer shall inform the parent that 
the parent may obtain a transcript of the hearing 
at no cost. 

(e) Parent Rights In Administrative Proceedings. Parents 
of an eligible child shall have the rights set forth in Section 
303.422 of Subpart E of Part 303 of Title 34 of the Code of 
Federal Regulations. 

(f) Timelines. The administrative proceeding shall be 
completed, and a written decision mailed to each of the 
parties within 30 days after the receipt of a parent's 
complaint as described in Subsection (b) above Rule .0913 
of thio S e otion . 

(g) Civil Action. Section 303.424 of Subpart E of Part 
303 of Title 34 of the Code of Federal Regulations relating 
to the availability of a civil action for any party aggrieved 
by the findings and decision in an administrative proceeding 
is adopted by reference and shall include any subsequent 
editions and amendments. 

(h) Status Of Child During Proceedings. Section 303.425 
of Subpart E of Part 303 of Title 34 of the Code of Federal 
Regulations relating to the status of a child during an 
administrative proceeding is adopted by reference and shall 
include any subsequent editions and amendments. 

(i) Confidentiality. Personally identifiable information 
concerning an eligible child or family member of an eligible 
child is confidential and may not be disclosed or acquired 
except as provided by in Subsections (j) and {k} below R-ttle 
0921, .0922, and .0921 of this S e otion . 

(j) Disclosure Of Confidential Information To Employees. 
An area program or contract agency may disclose 
confidential information to its employees who have a 
legitimate need for access to the information. 

(k) Written Consent Required. Except as provided in 
Rule .0913 of this Section, all disclosures of confidential 
information, including disclosures between an area program 
and contract agency, may be made only with the written 
consent of the parents. Client information may be disclosed 
between agencies participating in the provision of early 
intervention services in accordance with G.S. 122C-53(a), 
122C-55(c), 122C-55(f), or 122C-55(h), as appropriate. 
However., the extent of information disclosed shall be 
limited to that information which is necessary to carry out 
the purpose of the disclosure. Parents shall be informed of 
their right to refuse to consent to the release of confidential 
information. The content of written consent forms shall 
comply with the Confidentiality Rules, TIP: NCAC 18D. 

(4) Content of Written Consent! 

(+) When oonoont for r e l e as e of information -w 

obtain e d by an area program or oontraot agonoy 

covered by the rules in thia Subchapter, — a 

consent — fef — release — form — containing — the 



1110 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



iuf u imation — m — this — Subparagraph — shall — be or rehabilitation facility. 



utiliz e d. — The oonoont form shall oontain th e 
following informatiorK - 

(A) child's name; 

(B) name of part)' roloaaing the informn tieftf 
(G) nam e — of individual — ef — agenoy — te — whom 

information io b e ing r e l e as e d; 
(©) information to bo roloaood; 

(E) purpose for tho release; 

(F) longth of time oonoont io valid; 

(G) a statement that th e oonoont io oubj e ot to 
revocation at any time; 
signature of parent; 
signature of individual witnoooing th e oono e nt; 



(2) 



& 



m 
m 

(J-) dato tho consent is signed. 

(2) Tho roloaso shall bo effective only until tho 

initial — Individual — Family — S e rvioe — Ptea — is 

dovolop e d, or, if an Individual Family S e rvio e 

Plan — has — beea — developed, — until — the — ee*t 

Individual Sorvico Plan review. 

(m) Roloao e To Publio Sohoolo. — With th e oono e nt of th e 

par e nts, confid e ntial information may b e provid e d to th e 

public schools if and when tho child is enrolled in a Statutory Authority G.S. 122C-26; 143B-147. 
program undor Part B of tho Education of tho Handicapped 
Aeti If th e — par e nts — r e fus e — te — oonoont, — confid e ntial 



Statutory Authority G.S. 122C-26; 143B-147. 

.1102 STAFF 

(a) Staff shall include at least one qualified mental health 
professional. 

(b) Each facility serving minors shall have: 

(1) a program director who has a minimum of two 
years experience in child or adolescent services 
and who has educational preparation in 
administration, education, social work, nursing, 
psychology or a related field; 
one staff member present if only one client is in 
the program, and two staff members present 
when two or more clients are in the program; 
and 

a minimum ratio of one otaff m e mb e r prosont 
for e very eight oli e nto at all times. 

(c) Each facility serving adults shall have a minimum 
ratio of one staff member present for every six clients at all 
times. 



information ohall not b e r e l e as e d to the publio oohoolo. 

(1) Consent To Receive Services. The parents of a child, 
eligible to receive early intervention services, may 
determine whether they, their child, or other family 
members will accept or decline any type of early 
intervention service without jeopardizing the right to receive 
other early intervention services. 

Authority G.S. 143B-147; 150B-l(d); 20 U.S.C. Sections 
1401 et. seq., 1471 et. seq. 



.1103 OPERATIONS 

(a) A physician shall participate in diagnosis, treatment 
planning, and admission and discharge decisions. This 
physician shall be a psychiatrist unless a psychiatrist is 
unavailable or for other good cause cannot be obtained. 

(b) Each facility shall operate for a minimum of four 
hours per day (exclusive of transportation time), five days 
per week, excluding legal or governing body designated 
holidays. 

Statutory Authority G.S. 122C-26; 143B-147. 



SECTION .0900 - .1000 - RESERVED FOR FUTURE 
CODIFICATION 

SECTION .1100 - PARTIAL HOSPITALIZATION 

FOR INDIVIDUALS WHO ARE ACUTELY 

MENTALLY ILL 

.1101 SCOPE 

A partial hospitalization facility is a day/night facility 
which provides a broad range of intensive and therapeutic 
approaches which may include group, individual, 
occupational, activity and recreational therapies, training in 
community living and specific coping skills, and medical 
services as needed primarily for acutely mentally ill 
individuals. This facility provides services to: 

(1) prevent hospitalization; or 

(2) to serve as an interim step for those leaving an 
inpatient hospital. 

This facility provides a medical component in a less 
restrictive setting than a hospital or a residential treatment 



SECTION .1200 - PSYCHOSOCIAL 

REHABILITATION FACILITIES FOR 

INDIVIDUALS WITH SEVERE AND PERSISTENT 

MENTAL ILLNESS 

.1201 SCOPE 

A psychosocial rehabilitation facility is a day/night facility 
which provides skill development activities, educational 
services, and pre-vocational training and transitional and 
supported employment services to individuals with severe 
and persistent mental illness. Services are designed 
primarily to serve individuals who have impaired role 
functioning that adversely affects at least two of the 
following: employment, management of financial affairs, 
ability to procure needed public support services, 
appropriateness of social behavior, or activities of daily 
living. Assistance is also provided to clients in organizing 
and developing their strengths and in establishing peer 
groups and community relationships. 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1111 



PROPOSED RULES 



Statutory Authority G.S. 122C-26; 143B-147. 

.1202 STAFF 

(a) Each facility shall have a designated program director. 

(b) A minimum of one staff member on-site to each eight 
or fewer clients in average daily attendance shall be 
maintained. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1203 OPERATIONS 

(a) Skills development, educational and prevocational 
services. Each facility shall provide: 

(1) skills development activities which include: 

(A) community living, such as housekeeping, 
shopping, cooking, use of transportation 
facilities, money management; 

(B) personal care such as health care, medication 
management, grooming; 

(C) social relationships; 

(D) use of leisure time; 

(2) educational activities which include assisting the 
client in securing needed education services such 
as adult basic education and special interest 
courses; and 

(3) prevocational services which focus on the 
development of positive work habits and 
participation in work activities. 

(b) Employment Services. Each facility shall provide 
transitional or supported employment services to facilitate 
client entry into competitive employment. 

(1) When supported employment services are 
provided by the facility, each client shall be one 
for whom competitive employment has not 
traditionally occurred or has been interrupted or 
intermittent as a result of severe mental illness. 

(2) When supported employment is to be provided 
by the facility, one of the following models 
shall be used: 

(A) job coaching and supervision of individuals in 
an industry or business; 

(B) mobile crew service jobs of eight or fewer 
workers in the community under the training 
and supervision of a crew leader; or 

(C) small business enterprises operated with eight 
or fewer workers with training and supervision 
provided on site. 

(3) When transitional employment services are 
provided by the facility: 

(A) There shall be an agreement between the 
facility and employer for a specific job and the 
job shall first be performed by a facility staff 
member to determine its technical 
requirements. 

(B) The selection of a client to fill a placement is 
the responsibility of the facility and the 
individual client. 



(c) Operating Hours. Each facility shall operate for a 
minimum of five hours per day, five days per week 
(exclusive of transportation time). 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1300 - RESIDENTIAL TREATMENT FOR 

CHILDREN AND ADOLESCENTS WHO ARE 

EMOTIONALLY DISTURBED OR WHO HAVE A 

MENTAL DLLNESS 

.1301 SCOPE 

(a) A residential treatment facility for children and 
adolescents is a free-standing residential facility which 
provides a structured living environment for children and 
adolescents who have a primary diagnosis of mental illness 
or emotional disturbance and who may also have other 
disabilities and for whom removal from home is essential to 
facilitate treatment. 

(b) Services shall be designed to address the functioning 
level of the child or adolescent and include training in self- 
control, languag e or oommunioation skills, social skills, 
r e lationships, and recreational skills. Some children or 
adolescents may be able to receive services in a day 
treatment facility, have a job placement, or attend public 
schools; for others, special education services may need to 
be offered within the residential setting. 

(c) The target populations to be served in a residential 
setting are children and adolescents for whom removal from 
home to a community-based residential setting is essential to 
facilitate treatment. Residential treatment is targeted toward 
children and adolescents who no longer meet criteria for 
inpatient psychiatric services or intensive residential 
treatment and need a step-down placement in the 
community, or those who have been placed in non- 
residential community setting and need a more intensive 
treatment program. Different levels of residential treatment 
programs shall b e provid e d to m ee t th e individual needs of 
th e childr e n and adol e sc e nts plac e d in th e faoility. 

(d) Treatment, services, and discharge plans provided by 
residential treatment facilities shall be coordinated with other 
individuals and agencies within the client's local system of 



Statutory Authority G.S. 122C-26; 143B-147. 

.1302 STAFF 

(a) Each facility shall have a director who has a minimum 
of two years experience in child or adolescent services and 
who has educational preparation in administration, 
education, social work, nursing, psychology or a related 
field. 

(b) At all times, at least one direct care staff member 
shall be present with every four children or adolescents. If 
children or adolescents are cared for in separate buildings, 
the ratios shall apply to each building. 

(c) When two or more clients are in the facility, an 



1112 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



emergency on-call staff shall be readily available by 
telephone or page and able to reach the facility within 30 
minutes. 

(d) Psychiatric consultation shall be available as needed 
for each client. 

(e) Clinical consultation shall be provided by a qualified 
mental health professional to each facility at least twice a 
month. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1303 OPERATIONS 

(a) Capacity. Each facility shall serve no more than a 
total of 12 children and adolescents, except as set forth in 
this Rule. 

(1) Any facility licensed as a Residential Treatment 
Facility in this category on 1/4/94 and providing 
services to more than a total of 12 children and 
adolescents may continue to provide services at 
no more than the facility's licensed capacity, 
providing that the capacity does not exceed 24 

(2) Any Child Caring Institution which was licensed 
by the Division of Social Services on 1/4/94 
may seek licensure as a Residential Treatment 
Facility as follows: 

(A) the capacity of each residential unit in the 
Residential Treatment Facility shall be limited 
to 12 children and adolescents; 

(B) each residential unit will be administered, 
staffed, and located to function separately from 
all other residential units in the facility; and 

(C) the overall capacity shall be limited to the 
current capacity of the institution at the time of 
licensure as a Residential Treatment Facility. 

(3) The two former Child Caring Institutions that 
were licensed as Residential Treatment Facilities 
in this category on 4/1/90 shall be: 

exempt from the capacity limit of 24; 
exempt from the provisions in Subparagraphs 
(2)(A) and (B) of this Rule; and 
limited to the licensed capacity existing on July 
1, 1993. 

(b) Family Par e ntal Involvement. R e sid e nt i al treatment 
facilitiofl are expected to involve parents Family members or 
other responsible adults shall be involved in development of 
tr e atm e nt goals and plans in order to assure a smooth 
transition to a less restrictive setting . 

(c) Education. Children and adolescents residing in an 
intensive residential treatment facility must receive 
appropriate educational services, either through a facility- 
based school, 'home-based' services, or through a day 
treatment program. Transition to a public school setting 
shall be part of the treatment plan. 

(d) Age Limitation. If an adolescent has his 18th 
birthday while receiving treatment in a residential facility, 
he may continue in the facility for six months or until the 
end of the state fiscal year, whichever is longer. 



(A) 
(B) 

(C) 



(e) Clothing. Each child or adolescent shall have his own 
clothing and shall have training and help in its selection and 
care. 

(0 Personal Belongings. Each child or adolescent shall 
be entitled to age-appropriate personal belongings unless 
such entitlement is counter-indicated in the treatment plan. 

(g) Hours of Operation. Each facility shall operate 24 
hours per day, at least five days per week, at least 50 weeks 
per year, excluding legal holidays. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1304 PHYSICAL PLANT 

(a) The facility must not be hospital -based. 

(b) The facility may be locked to prevent unauthorized 
entry . 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1400 - DAY TREATMENT FOR 

CHILDREN AND ADOLESCENTS WITH 

EMOTIONAL OR BEHAVIORAL DISTURBANCES 

.1401 SCOPE 

(a) Day treatment is a day/night facility for children and 
adolescents who are emotionally disturbed which coordinates 
educational activities and intensive treatment while allowing 
the individual to live at home or in the community. 

(b) This service is designed to increase the ability of a 
child or adolescent to relate to others and function 
appropriately within the community while serving as an 
intervention to prevent hospitalization or placement outside 
the home or community. 

(c) It shall provide a therapeutic environment as well as 
other activities which may include individual therapy, group 
therapy, recreational therapy, language communication skills 
development, social skills development, pre-vocational 
service, vocational training, service to parents, and 
individual advocacy. 

(d) The client's educational activities may be provided in 
this facility or in another educational setting, such as regular 
classes or special education programs within a typical 
school setting. 

(e) Treatment, services, and discharge plans provided by 
day treatment Da)' Treatment programs shall be coordinated 
with other individuals and agencies within each client's local 
system of care. 

(f) Day treatment facilities may include before/after 
school and summer facilities, and early intervention. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1402 STAFF 

(a) Each facility shall have a program director who has a 
minimum of two years experience in child or adolescent 
services and who has educational preparation in 
administration, education, social work, nursing, psychology 



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PROPOSED RULES 



or a related field. 

(b) A minimum of two staff members shall be present 
with clients at all times except on occasions when only one 
client is in the program, in which case only one staff 
member is required to be present. 

(c) A minimum ratio of one staff member to every eight 
clients shall be maintained at all times. 

(d) Psychiatric consultation shall be available for each 
client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.1403 OPERATIONS 

(a) If an adolescent has his 18th birthday while receiving 
treatment in a day treatment facility, he may continue in the 
facility for six months or until the end of the state fiscal 
year, whichever is longer. 

(b) If an older client presents with needs developmentally 
characteristic of this age group, he may be considered for 
admission. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1500 - INTENSIVE RESIDENTIAL 

TREATMENT FOR CHILDREN AND 

ADOLESCENTS WHO ARE EMOTIONALLY 

DISTURBED OR WHO HAVE A MENTAL 

ILLNESS 

.1501 SCOPE 

(a) An intensive residential treatment facility for children 
and adolescents with emotional and/or behavioral 
disturbances is a short-term, 24-hour residential program 
providing a structured living environment for children and 
adolescents who do not meet criteria for acute inpatient care 
and whose needs require more intensive treatment and 
supervision than would be available in a community 
residential treatment facility. Intensive residential treatment 
is not intended to be a long-term residential placement for 
children and adolescents who must be permanently removed 
from their homes. 

(b) Services shall be designed to address the functioning 
level of the child and adolescent and include training in self- 
control, language or communication skills, social skills 
relationships , and behavioral skills necessary to move to a 
community setting. Services may also include monitoring 
medication trials. 

(c) The target populations to be served in an intensive 
residential setting are is children and adolescents for whom 
removal from home or a community-based residential setting 
is essential to facilitate treatment. Intensive residential 
treatment is targeted toward children and adolescents who 
no longer meet criteria for inpatient psychiatric services and 
need a step-down placement prior to community placement, 
or those who have been placed in a community residential 
setting and need a more intensive treatment program. 

(d) Treatment, services and discharge plans by intensive 



residential treatment facilities shall be coordinated with other 
individuals and agencies within the client's local system of 
care. 

Statutory Authority G.S. 143B-147. 

.1502 STAFF 

(a) Each facility shall have a director who has a minimum 
of three years experience in child or adolescent services and 
who has educational preparation in administration, 
education, social work, nursing, psychology or a related 
field. 

(b) At all times, at least two eae direct care staff 
members shall be present with every six few children or 
adolescents in each residential unit. 

(c) When two or more clients are in the facility, an 
emergency on-call staff shall be readily available by 
telephone or page and able to reach the facility within 30 
minutes. 

(d) If the facility is hospital based, staff shall be 
specifically assigned to this program, with responsibilities 
clearly separate from those performed on an acute medical 
unit or other residential units. 

(e) Each child or adolescent admitted to a facility shall 
have a weekly consultation with a psychiatrist to review 
medications and to ensure that the psychiatrist is involved in 
the development of a transition plan to a less restrictive 
setting or to a more acute inpatient setting. 

(f) Clinical consultation shall be provided weekly by a 
qualified mental health professional. 

(g) Clinical consultation with staff from the responsible 
area program shall occur weekly in order to assist with the 
development of a treatment plan in a community-based 
setting. 

Statutory Authority G.S. 143B-147. 

.1503 OPERATIONS 

(a) Capacity. Each unit shall serve no more than a total 
of 12 persons. If the facility has more than one residential 
unit, the capacity of each unit shall be limited to 12 children 
and adolescents. 

(b) Residential units. Each residential unit will be 
administered, staffed, and located to function separately 
from all other residential units in the facility. 

(c) Length Of Stay. The length of s tay shall b e no mor e 
than 90 days from admiooion to discharg e . Efforts for 
discharge to a less restrictive community residential setting 
shall be documented from the date of admission. 

(d) Hours Of Operation. Each facility shall operate as a 
24-hour facility at least 50 weeks per year. 

(e) Family Involvement. Family members or other 
responsible adults guardians shall be involved in the 
development and implementation of treatment plans in order 
to assure a smooth transition to a lessef restrictive 
residential setting. 

(f) Education. Children and adolescents residing in an 



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intensive residential treatment facility must receive 
appropriate educational services, either through a facility- 
based school, "home-based" services, ef through a day 
treatment program or other services consistent with federal 
and State law . Transition to a public school setting shall be 
part of the treatment plan. 

(g) Clothing. Each child or adolescent shall have his own 
clothing and shall have training and help in its selection and 
care. 

(h) Personal Belongings. Each child or adolescent shall 
be entitled to age-appropriate personal belongings unless 
such entitlement is counter-indicated in the treatment plan. 

(i) Transition Planning. Representatives from agencies 
and institutions serving a child or adolescent shall meet at 
admission and 30 days prior to discharge in order to assure 
that a plan for transition to a lesser restrictive residential 
setting is in place. Family members and/or guardians of the 
child shall be present at these meetings. 

Statutory Authority G.S. 143B-147. 

.1504 PHYSICAL PLANT 

(a) The facility may be hospital based. The units must be 
self-contained and separate from acute medical units and 
other residential units in a clearly defined physical setting. 

(b) Beds may not be shared with an acute medical unit 
(cj The facility may be locked to prevent both entry and 

exit. 

Statutory Authority G.S. 143B-147. 

SECTION .1600 - .2000 - RESERVED FOR FUTURE 
CODIFICATION 

SECTION .2100 - SPECIALIZED COMMUNITY 

RESIDENTIAL CENTERS FOR INDIVIDUALS 

WrTH DEVELOPMENTAL DISABILrTIES 

.2101 SCOPE 

(a) A specialized community residential center is a 24- 
hour facility which provides care, treatment and 
developmental training for individuals who are 
developmentally disabled or have multiple disabilities 
multi handicapped over an extended period of time, through 
integration of medical services and close supervision. 

(b) The service is designed to assist each individual to 
attain his highest level of independent living skills while 
receiving care for his physical needs. 

(c) This facility may be certified for Medicaid as an 
Intermediate Care Facility for the Mentally Retarded 
(ICF/MR). 

Statutory Authority G.S. I22C-26; 143B-147. 

.2102 STAFF 

(a) Each facility shall designate a director who has 
experience in developmental disabilities and holds a 



baccalaureate degree with specialization in administration, 
education, social work, nursing, psychology or a related 
field or who has comparable experience and education. 

(b) At least one registered nurse or licensed practical 
nurse shall be on the grounds of the facility at all times. 

(c) Each facility shall have at least one registered nurse 
on staff. 

(d) During waking hours, the following minimum client 
to staff ratios shall be in effect for each building: 

(1) a minimum of two direct care staff members 
shall be on duty at all times; and 

(2) a minimum of one direct care staff member shall 
be on duty for every five clients. 

(e) During sleeping hours, the following minimum client 
to staff ratios shall be in effect for each building: 

(1) one direct care staff member shall be awake and 
on duty at all times and one other staff member 
shall be on call in the building; and 

(2) a minimum of one direct care staff member shall 
be on duty for every ten clients. 

(f) Medical care shall be available on a 24-hour basis for 
each client. 

(g) Each staff member shall have a current medical 
statement on file with the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

2103 OPERATIONS 

(a) Capacity. Facilities beginning operation subsequent 
to the effective date of these rules shall be designed to serve 
no more than 30 clients at one location. 

(b) Personal Clothing. Each client shall have adequate 
changes of personal clothing at least daily. 

(c) Daily Training Activities: 

(1) Daily training activities shall be scheduled to 
meet the developmental needs of each client. 

(2) Activities shall take into consideration the length 
of time each client should be scheduled for 
needed rest periods, his need for individual 
attention, and special limitation of activities and 
diets. 

(3) Both free play and organized recreational 
activities shall be provided as appropriate to 
individual needs. 

(4) Field trips and community experiences shall be 
provided for individual clients. 

(5) Daily routines common to non-disabled 
non handicapped clients shall be followed. 

(6) Daily outdoor activities shall be planned in 
acceptable weather when appropriate to the 
health and physical needs of the client. 

(7) When adults are served, vocational services shall 
be provided unless there is medical 
contraindication. 

Statutory Authority G.S. 122C-26; 143B-147. 



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PROPOSED RULES 



.2104 PHYSICAL PLANT 

No more than six infants or children and no more than 
four adolescents or adults may share an individual bedroom 
regardless of bedroom size. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .2200 - BEFORE/AFTER SCHOOL, 

SUMMER, AND SCHOOL YEAR 

DEVELOPMENTAL DAY SERVICES FOR 

CHILDREN WITH OR AT RISK FOR 

DEVELOPMENTAL DELAYS, DEVELOPMENTAL 

DISABILrriES, OR ATYPICAL DEVELOPMENT 

.2201 SCOPE 

(a) Before/after school developmental day services for 
school aged and preschool children with or at risk for 
developmental delays, developmental disabilities, or atypical 
development are facilities that provide individual 
habilitative programming and recreational activities. 

(1) Services are provided preceding and following 
the school day during the months of local school 
operation and shall be designed to meet 
developmental needs of the children as well as 
the child care needs of families. 

(2) Before/after school services may be provided as 
a component of a developmental day center. 

(b) Summer developmental day services for school aged 
and preschool children with or at risk for developmental 
delays, developmental disabilities, or atypical development 
are facilities that provide individual habilitative 
programming and recreational activities in a licensed child 
care center for school-age children during the summer 
period, when they are not participating in educational 
activities. This service is: 

(1) designed to promote continuing progress in 
acquiring developmental skills such as self-help, 
fine and gross motor, language and 
communication, cognitive and social skills in 
order to facilitate functioning in a less restrictive 
environment; and 

(2) designed to meet child care needs of families. 

(c) School year developmental day services are day 
facilities that which provide individual habilitative 
programming for school aged children during the school day 
throughout the school year when the local schools are in 
operation. The children are served under a contractual 
agreement with the local school system. 

(d) The Rules in this Section are applicable when: 

(1) these services are provided as a separate free- 
standing component which is not in the same 
facility as a developmental day center for 
children licensed under G.S. 110, Article 7; and 

(2) these services are offered for a total of four 
hours per day or less. 

Statutory Authority G.S. 122C-26; 143B-147. 



.2202 STAFF 

(a) Each staff member, except student trainees and 
supervised volunteers, shall be at least 18 years of age. 

(b) Each center shall have a designated program director 
who has experience in developmental disabilities, and holds 
a baccalaureate degree with specialization in administration, 
education, social work, nursing, psychology or a related 
field or have comparable experience and education. 

(c) A minimum of two staff members shall provide direct 
child care at all times. 

(d) A minimum of one direct care staff member shall be 
on duty for every five children. 

(e) Each staff member shall have a current medical 
statement on file with the facility. 

Statutory Authority G.S. I22C-26; 143B-147. 

.2203 OPERATIONS 

(a) Each before/after school developmental day service 
shall be available for a minimum of three hours per day 
(exclusive of transportation time), five days per week, 
during the months of local school operation. 

(b) Each summer developmental day service shall be 
available for a minimum of eight hours per day (exclusive 
of transportation time), five days per week, during the 
weeks in which local school operation is closed for summer 
break. 

(c) Each school year developmental day service shall be 
available for a minimum of eight hours per day, five days 
per week during the months of local school operation. 

(d) The center shall provide or secure opportunities for 
the parent or the legally responsible person to attend 
individual or group activities. 

(e) Grouping shall allow for attending to the individual 
needs of each child and reflect developmentally appropriate 
practices. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2204 PHYSICAL PLANT 

(a) Classroom And Activity Space: 

(1) A ratio of 50 square feet per child shall be 
available for indoor classroom and activity 
space, exclusive of space occupied by sinks, 
lockers, storage cabinets, and other fixed 
equipment. 

(2) Space shall be available for small groups and 
individualized training. 

(3) Special interest areas shall be provided to 
enhance the development of individual children. 

(4) Space for indoor physical activities shall be 
available for the provision of those activities 
enhancing gross motor development. 

(5) Centers with at least 40% of their enrollment 
being children without disabilities and having an 
inclusion plan approved by DMH/DD/SAS for 
area-operated programs and by the area program 



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PROPOSED RULES 



director for contract agency centers may have a 
total of 35 square feet available per child for 
indoor classroom and activity space, 
(b) Outdoor Activity Space: 

(1) Outdoor activity space shall be available in the 
ratio of 200 square feet per child scheduled to 
use the area at any one time. 

(2) Centers with at least 40% of their enrollment 
being children without disabilities and having an 
inclusion plan approved by DMH/DD/SAS for 
area-operated programs and by the area program 
director for contract agency centers may have a 
total of 100 square feet available per child. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .2300 - ADULT DEVELOPMENTAL AND 

VOCATIONAL PROGRAMS FOR INDIVIDUALS 

WITH DEVELOPMENTAL DISABILITIES 

.2301 SCOPE 

(a) An Adult Developmental and Vocational Aotivity 
Program (ADVP) is a day/night facility which provides 
organized developmental activities for adults with 
developmental disabilities to prepare the individual to live 
and work as independently as possible. The activities and 
services of an ADVP are designed to adhere to the 
principles of normalization and community integration aimed 
at increasing age-appropriate actions, images and appearance 
of the individual. 

(b) An ADVP offers a diverse variety of specific services 
and activities. These include vocational evaluation, 
vocational training, remunerative employment, personal and 
community living skill development, adult basic education 
and long-term support and follow-up . Support services to 
clients' families and consultation with the clients' employers 
and other involved agencies may also be provided. The 
amount of time devoted to these areas varies considerably 
depending on the needs of the clients served. 

(c) The Rules contained in this Section are applicable to 
facility-based ADVP services. 

(d) The majority of the ADVP activities in this model, 
whether vocational or developmental in nature, are carried 
out on the premises of a site specifically designed for this 
purpose. 

(e) It is the ADVP that shall be subject to licensure, not 
the location of the business or organization where the client 
may be placed for work. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2302 DEFINITIONS 

In addition to the terms defined in Rule .0103 of this 
Subchapter and G.S. 122C-3, the following terms shall also 
apply: 

(1) "Approved supported employment conversion 
plan" means a planned approach to changing the 



type of services delivered from ADVP 
facility-based to supported employment. Approval 
of the conversion plan is the responsibility of the 
Chief of the appropriate disability section of 
DMH/DD/SAS or his designee and the Area 
Director or his designee if the facility is operated 
by a contract agency of the area program or other 
service provider. DMH/DD/SAS shall request 
appropriate personnel from the Division of 
Vocational Rehabilitation to participate in the plan 
review process. The request for approval of the 
supported employment conversion plan shall 
include specific written information in the 
following areas: 

(a) number of clients to be moved into supported 
employment; 

(b) types of supported employment models to be 
used; 

(c) time frame for the conversion period; 

(d) interim proposed facility staffing patterns and 
responsibilities; and 

(e) proposed budget for the conversion plan. 

(2) "Supported employment" means a day /night 
service which involves paid work in a job which 
would otherwise be done by a non-disabled 
worker. Supported employment is carried out in 
an integrated work site where an individual or a 
small number of people with disabilities work 
together and where the work site is not 
immediately adjacent to another program serving 
persons with disabilities. It includes involvement 
of staff working with the individuals in these 
integrated settings. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2303 STAFF 

(a) Each ADVP shall have a designated full-time program 
director. 

(b) The Program Director shall be at least a high school 
graduate or equivalent with three years of experience in 
developmental disabilities programming. 

(c) Each facility shall have evaluation services available 
for all clients. 

(d) Each facility shall maintain an overall direct service 
ratio of at least one full-time or full-time equivalent direct 
service staff member for every ten or fewer clients. For 
facilities having an approved supported employment 
conversion plan as defined in Rule .2302 of this Section, 
this standard will not apply for a maximum of ten clients or 
20 percent of a facility's average daily enrollment, 
whichever is greater. 

(e) Each facility shall have an Admissions Committee. 

(f) If the site is maintained by the ADVP: 

(1) A safety committee comprised of staff members 
and clients shall be appointed to review accident 
reports and to monitor the ADVP for safety; and 



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PROPOSED RULES 



(2) Minutes shall be kept of all meetings. 
Statutory Authority G.S. 122C-26; 143B-147. 

.2304 OPERATIONS 

(a) Safety Educational Program. Each ADVP shall 
provide an ongoing educational program for staff and clients 
designed to teach them the principles of accident prevention 
and control of specific hazards. The program shall include 
training for clients in personal, work and environmental 
safety. 

fb) Business Practices: 

(1) If the ADVP seeks or receives remuneration for 
goods or services provided to another individual, 
organization or business: 

(A) Supplies, materials or tools, if provided by the 
ADVP, shall be identified as a separate 
amount in the bid price; 

(B) Wages paid to ADVP clients shall be on a 
piece rate, ef hourly commensurate wage or 
minimum wage or higher ; 

(C) Each client involved in productive work shall 
receive a written statement for each pay period 
which indicates gross pay, hours worked and 
deductions; and 

(D) Prices for goods produced in the ADVP shall 
be equal to or exceed the cost of production 
(including commensurate wages, overhead, 
tools and materials). 

(2) If the client is an employee of another 
individual, organization or business, the ADVP 
shall review client earnings information on at 
least an annual basis to ensure appropriateness of 
pay rates and amounts. 

(3) Clients shall be counseled concerning inform e d 
ef their rights and responsibilities in such 
matters as wages, hours, working conditions, 
social security, redress for injury and the 
consequences of their own tortious or unethical 
conduct. 

(c) Handbook. Each ADVP shall have a client handbook 
including, but not limited to, information about services and 
activities. 

(1) The client handbook shall be written in a manner 
comprehensible to clients and reflective of adult 
status. 

(2) Each client shall be given a handbook, and the 
handbook shall be reviewed with the client. 

(d) Hours Of Operation. ADVP services shall be 
available for client attendance at least six hours per day 
(exclusive of transportation time), five days per week, 
unless closed in accordance with procedures outlined in 10 
NCAC 14C .1100, contained in Division Publication, 
AREA PROGRAM BUDGETING AND PROCEDURES 
MANUAL, APSM 75-1. 

Statutory Authority G.S. 122C-26; 143B-147. 



.2305 PHYSICAL PLANT 

If the site is maintained by the ADVP: 

(1) Each site shall be inspected annually by an outside 
safety consultant with written documentation and 
follow-up on recommendations; and 

(2) Each site shall be designed and equipped to 
promote the training, employment and adult status 
of clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.2306 CLIENT ELIGIBILITY AND ADMISSIONS 

(a) Eligibility. Clients served shall be eligible for ADVP 
regardless of financial resources with the exception of a 
client whose work earnings exceed 60% of the prevailing 
federal statutory minimum wage over a consecutive 90-day 
period. With prior approval of the appropriate area 
program director or designee, clients who are participating 
in a supported employment program authorized by 
DMH/DD/SAS may have earnings in excess of 60% the 
prevailing wage. Eligibility for clients in non-supported 
employment settings whose earnings have exceeded over 
60% the prevailing wage for over 90 consecutive days may 
be extended for up to one calendar year if supported 
employment options are not available locally and the client 
is ineligible for other services from the Division of 
Vocational Rehabilitation, or if the client's social, 
behavioral or vocational skill deficits preclude participation 
in supported employment options and results in ineligibility 
for other vocational rehabilitation services. The eligibility 
extension shall occur through the annual habilitation 
planning existing client roeortification process carried out by 
the designated area program qualified developmental 
disabilities professional. Requests for the extension shall be 
based on a joint case review involving a representative of 
the involved ADVP, the local VR unit and the area 
program. The request shall identify the specific skill 
deficits precluding eligibility for supported employment or 
other vocational rehabilitation services and include plans for 
addressing these deficits. The certification extension may be 
reapplied for a maximum of two times only. The same 
criteria and procedures shall be followed in each instance of 
reapplication as are required for the initial extension. 

(b) Admissions. Each ADVP shall have written 
admission policies and procedures. 

(1) A pre-admission staffing shall be held for each 
client considered for admission to the ADVP. 
During the staffing, the Admissions Committee 
shall consider information available regarding 
the client's medical, psychological, social, and 
vocational histories. 

(2) Results of the pre-admission staffing shall be 
documented and forwarded to the referral or 
sponsoring agency. A representative of the 
ADVP admissions committee shall notify the 
client. 

(3) A qualified developmental disabilities 



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PROPOSED RULES 



professional of the area program shall certify the 
eligibility of each client for the ADVP service. 

Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .2400 - DEVELOPMENTAL DAY 

SERVICES FOR CfflLDREN WITH OR AT RISK 

FOR DEVELOPMENTAL DELAYS, 

DEVELOPMENTAL DISABILITIES OR ATYPICAL 

DEVELOPMENT 

.2401 SCOPE 

A developmental day service is a day/night service which 
provides individual habilitative programming for children 
with, or at risk for developmental delay, developmental 
disabilities or atypical development in specialized licensed 
child care centers. The service: 

(1) is designed to meet developmental needs of the 
children such as self-help, physical, language and 
speech, and cognitive and psychosocial skills in 
order to facilitate their functioning in a less 
restrictive environment, as well as to meet child 
care needs of families; and 

(2) offers family training and support. 

Statutory Authority G.S. 143B-147. 

.2M1 STAFF 

(a) Each developmental day center shall have a designated 
director who holds a bachelor level degree with 
specialization in administration, education, social work, 
nursing, psychology or a related field or have comparable 
experience and education. 

(b) Each staff member except student trainees and 
supervised volunteers shall be at least 18 years of age. 

(c) Staff shall provide continuous supervision of each 
child. 

(d) A minimum of two staff members shall provide direct 
child care at all times. 

(e) A minimum of one direct child care staff member 
shall be on duty for every five children. 

(f) If school or preschool aged children are served under 
contract with the Department of Public Instruction, a 
preschool handicapped, B-K, or special education certified 
teacher shall be employed for each 20 children or less. The 
type of certification shall be based on the ages of the 
children served. When infants and toddlers are served, a 
professional privileged in accordance with the requirements 
of Part H of Individuals with Disabilities Education Act 
shall be employed for each 20 children or less. This 
material is adopted by reference and includes subsequent 
editions and amendments. 

(g) If infants are served, a minimum of one direct care 
staff member shall be on duty for every three infants. 

(h) Centers with at least 40% of their enrollment being 
children without disabilities, and having an inclusion plan 
approved by DMH/DD/SAS for area-operated programs and 



by the area program director for contract agency centers, 
may utilize the following staff/child ratio: 

(1) Infants - 1:4; 

(2) Toddlers and older children - 1:6. 

(i) The disciplines of social work, physical therapy, 
occupational therapy and speech and language therapy shall 
be available through center employees, consultants, or 
agreements with other providers. 

(j) Each staff member shall have a current medical 
statement on file with the facility. 

Statutory Authority G.S. 143B-147. 

.2403 OPERATIONS 

(a) Hours. Developmental day services for preschool 
children shall be available for a minimum of eight hours per 
day (exclusive of transportation time), five days per week, 
twelve months a year. 

(b) Daily Training Activities. Activities shall be planned 
around the following principles: 

(1) Group and individual activities, related to 
individual goal plans, shall be scheduled daily. 

(2) Both free play and organized recreational 
activities shall be provided. No more than 
one-third of the daily schedule shall be 
designated for both of these activities combined. 

(c) Grouping of children. Grouping shall allow for 
attending to the individual needs of each child and reflect 
developmentally appropriate practices. 

(d) Family Services: 

(1) Parents shall be provided the opportunity to 
observe their child in the program. 

(2) The center shall provide or secure opportunities 
for parents to attend parent training seminars. 

Statutory Authority G.S. 122C-51; 143B-147. 

.2404 PHYSICAL PLANT 

(a) Classroom And Activity Space: 

(1) A ratio of 50 square feet per child shall be 
available for indoor classroom and activity 
space, exclusive of space occupied by sinks, 
lockers, storage cabinets, and other fixed 
equipment. 

(2) Space shall be available for small groups and 
individualized training. 

(3) Special interest areas shall be provided to 
enhance the development of individual children. 

(4) Space for indoor physical activities shall be 
available for the provision of those activities 
enhancing gross motor development. 

(5) Centers with at least 40% of their enrollment 
being children without disabilities and having an 
inclusion plan approved by DMH/DD/SAS for 
area-operated programs and by the area program 
director for contract agency centers may have a 
total of 35 square feet available per child for 



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1119 



PROPOSED RULES 



indoor classroom and activity space. 

(b) Outdoor Activity Space: 

(1) Outdoor activity space shall be available in the 
ratio of 200 square feet per child scheduled to 
use the area at any one time. 

(2) Centers with at least 40% of their enrollment 
being children without disabilities and having an 
inclusion plan approved by DMH/DD/SAS for 
area-operated programs and by the area program 
director for contract agency centers may have a 
total of 100 square feet available per child. 

(c) Environmental Rating. Each center shall complete an 
environmental rating scale. 



(a) As used in this Section, the term "Early Intervention 
Services" shall have the meaning specified in Section 303. 12 
of Subpart A of Part 303 of Title 34 of the Code of Federal 
Regulations. 

(b) As used in this Section, an eligible child is an infant 
or toddler who meets the definition of "high risk children," 
"developmentally delayed children," or children with 
"atypical development" as defined in 10 NCAC 14V .0802, 
or "developmentally disabled" children as defined in G.S. 
122C-3. 

Authority G.S. 143B-147; 20 U.S.C. Sections 1401 et. seq. , 
1471 et.seq. 



Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .2500 - EARLY CHILDHOOD 

INTERVENTION SERVICES (ECIS) FOR 

CHD1DREN WTTH OR AT RISK FOR 

DEVELOPMENTAL DELAY, DISABILITIES, OR 

ATYPICAL DEVELOPMENT AND THED* 

FAMILIES 

.2501 SCOPE 

(a) An early childhood intervention service (ECIS) is a 
periodic service designed to promote the developmental 
growth of children with or at risk for developmental delay, 
disabilities or atypical development, and their families. In 
addition, it provides families with support and information 
on child-rearing skills and management, and services and 
resources available to the child and family. The service 
provides, on a regularly scheduled basis, comprehensive 
assessment and prescriptive developmental programming in 
such areas as cognitive, language and communication, 
physical, self-help, and psychosocial skill development in 
the client's home which may be supplemented by individual 
or group services at other sites. This service provides 
case-specific and general follow-up and consultation to other 
preschool programs. Case management is also a component 
of this service. 

(b) The primary methodology of service delivery is 
periodic (usually weekly) home visits which may be 
supplemented by group or individual activities at sites other 
than the child's home. 

(c) This Section applies to those early intervention 
services that are available through the area programs and 
contract agencies. 



.2503 STAFF REQLTREMENTS 

(a) Each ECIS shall have a designated program director 
who holds at least a baccalaureate degree in a field related 
to developmental disabilities, or is registered to practice as 
a registered nurse in the State of North Carolina, and who 
has at least one year's experience in services for infants or 
toddlers with or at risk for developmental delays or atypical 
development. This includes, but is not limited to early 
childhood education, child development, or special 
education. 

(b) At least one member of the ECIS staff shall be an 
individual who holds a degree in education or early 
childhood development. 

(c) Staff shall be privileged in accordance with the 
requirements of Part H of the Individuals with Disabilities 
Education Act. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 

.2504 INTERDISCIPLrNARY ECIS STAFF 

(a) At least one member of the ECIS staff shall be an 
individual who holds a degree in education or early 
childhood development. 

(b) The disciplines of social work, physical therapy, 
occupational therapy and speech therapy shall be represented 
on the staff in response to the documented needs of the 
children and families served. These disciplines may be 
represented by staff members, consultant staff, or through 
agreements with staff of other agencies. 

(c) Assessments shall be conducted in accordance with 10 
NCAC 14V .0314. 

Statutory Authority G.S. 143B-147; 20 USC 1471. 



Statutory Authority G.S. 143B-147; 20 USC 1471. 

.2502 DEFINITIONS 

(ft) As used in this Section, the following terms shall have 
the meanings specified in Section 303. 4 01 of Subpart E of 
Part 303 of Titl e 34 of th e Cod e of Federal R e gulationo: 
(4} "Conoont;" 

(-3-) "Native l^anguago;" 



.2505 FOLLOW-ALONG 

Follow-along, a continuing relationship with the client for 
the purpose of assuring that the client's changing needs are 
recognized and appropriately met, shall be provided 
semi-annually for one year on behalf of children who have 
been discharged from the ECIS. 

Statutory Authority G.S. 122C-51; 143B-147; 20 USC 1471. 



&h 



'Porsonally identifiable, ' 



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SECTIONS .2600 - .3000 - RESERVED FOR 
FUTURE CODIFICATION 

SECTION .3100 - NONHOSPITAL MEDICAL 

DETOXIFICATION FOR INDrVIDUALS WHO 

ARE SUBSTANCE ABUSERS 

.3101 SCOPE 

(a) Nonhospital medical detoxification is a 24-hour 
residential facility which provides medical treatment and 
supportive services under the supervision of a physician. 

(b) This facility is designed to withdraw an individual 
from alcohol or other drugs and to prepare him to enter a 
more extensive treatment and rehabilitation program. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3102 STAFF 

(a) A minimum of one direct care staff member shall be 
on duty at all times for every nine or fewer clients 

(b) The treatment of each client shall be under the 
supervision of a physician. 

(c) The services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified substance abuse 
counselor shall be available to each client. 

(d) Each facility shall have at least one staff member on 
duty at all times trained in the following areas: 

(1) substance abuse withdrawal symptoms, including 
delirium tremens; and 

(2) symptoms of secondary complications to 
substance abuse. 

(e) Each direct care staff member shall receive continuing 
education to include understanding of the nature of 
addiction, the withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3103 OPERATIONS 

(a) Monitoring Clients. Each facility shall have a written 
policy that requires: 

(1) procedures for monitoring each client's general 
condition and vital signs during at least the first 
72 hours of the detoxification process; and 

(2) procedures for monitoring and recording each 
client's pulse rate, blood pressure and 
temperature at least every four hours for the first 
24 hours and at least three times daily thereafter. 

(b) Discharge Planning And Referral To 
Treatment/Rehabilitation Facility. Before discharging the 
client, the facility shall complete a discharge plan for each 
client and refer each client who has completed detoxification 
to an outpatient or residential treatment/rehabilitation 
facility. 



SECTION .3200 - SOCIAL SETTING 

DETOXD7ICATION FOR SUBSTANCE 

ABUSE 

.3201 SCOPE 

(a) Social setting detoxification is a 24-hour residential 
facility which provides social support and other non-medical 
services to individuals who are experiencing physical 
withdrawal from alcohol and other drugs. 

(b) Individuals receiving this service need a structured 
residential setting but are not in need of immediate medical 
services; however, back-up physician services shall be 
available, if indicated. 

(c) The facility is designed to assist individuals in the 
withdrawal process and to prepare them to enter a more 
extensive treatment and rehabilitation program. 

Statutory Authority G.S. 122C-26; 143B-147. 

,3202 STAFF 

(a) A minimum of one direct care staff member shall be 
on duty at all times for every nine or fewer clients. 

(b) The services of a certified alcoholism counselor or a 
certified substance abuse counselor shall be available on an 
as-needed basis to each client. 

(c) Each facility shall have at least one staff member on 
duty trained in the following areas: 

(1) monitoring vital signs; 

(2) alcohol withdrawal symptoms, including 
delirium tremens; 

(3) symptoms of secondary complications to 
alcoholism. 

(d) Each direct care staff member shall receive continuing 
education to include understanding of the nature of 
addiction, the withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3203 OPERATIONS 

(a) Monitoring Clients. Each facility shall have a written 
policy that requires: 

(1) procedures for monitoring each client's general 
condition and vital signs during at least the first 
72 hours of the detoxification process; and 

(2) procedures for monitoring and recording each 
client's pulse rate, blood pressure and 
temperature at least four times daily for the first 
72 hours after admission. 

(b) Discharge Planning And Referral To 
Treatment/Rehabilitation Facility. The facility shall 
complete a discharge plan for each client and refer each 
client who has completed detoxification to an outpatient or 
residential treatment or rehabilitation facility. 



Statutory Authority G.S. 122C-26; 143B-147. 



Statutory Authority G.S. 122C-26; 143B-147. 



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PROPOSED RULES 



SECTION .3300 - OUTPATIENT DETOXIFICATION 
FOR SUBSTANCE ABUSE 

.3301 SCOPE 

An outpatient detoxification facility is a periodic service 
which provides services involving the provision of 
supportive services, particularly active support systems 
under the supervision of a physician for clients who are 
experiencing physical withdrawal from alcohol and other 
drugs, including but not limited to appropriate medical, 
nursing and specialized substance abuse services . 

Statutory Authority G.S. 122C-26; 143B-147. 

.3302 STAFF 

(a) The treatment of each client shall be under the 
supervision of a physician. 

(b) The services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified substance abuse 
counselor shall be available to each client. 

(c) Each facility shall have at least one staff member on 
duty trained in the following areas: 

(1) monitoring vital signs; 

(2) alcohol withdrawal symptoms, including 
delirium tremens; 

(3) symptoms of secondary complications to 
alcoholism. 

(d) Each direct care staff member shall receive continuing 
education to include understanding of the nature of 
addiction, the withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3303 OPERATIONS 

(a) Hours. Each outpatient detoxification facility shall 
operate at least eight hours per day, for a minimum of five 
days per week. 

(b) Discharge Planning And Referral To 
Treatment/Rehabilitation Facility. Before discharging the 
client, the facility shall complete a discharge plan for each 
client and refer each client who has completed detoxification 
to the level of treatment or rehabilitation in accordance with 
the client needs an outpationt or rooidontial trootmont or 
rehabilitation facility . 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3400 - RESIDENTIAL TREATMENT/ 

REHABILITATION FOR INDIVIDUALS WITH 

SUBSTANCE ABUSE DISORDERS 

.3401 SCOPE 

(a) A residential treatment or rehabilitation facility' for 
alcohol or other drug abuse disorders is a 24-hour 
residential service which provides active treatment and a 
structured living environment for individuals with substance 



abuse disorders in a group setting. 

(b) Individuals must have been detoxified prior to 
entering the facility. 

(c) Services include individual, group and family 
counseling and education. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3402 STAFF 

(a) Staff are required as follows: 

(11 Each facility shall have at least one full-time 
certified alcoholism, drug abuse, or substance 
abuse counselor. 

(2) In addition, each facility shall have at least one 
full-time qualified alcoholism, drug abuse, or 
substance abuse professional or one full-time 
certified alcoholism, drug abuse, or substance 
abuse counselor for each ten beds or increment 
thereof in the facility. 

(3) For each of the staff members described in 
Subparagraph (a)(2) of this Rule, at least one 
shall be a full-time certified alcoholism, drug 
abuse, or substance abuse counselor for each 
additional thirty -bed increment. 

Staff aro required as follows; 

(4} On e full time o e rtifiod alcoholism, drug abuse or 

substnnoe abus e counselor for a facility having 
up to 30 bods and for ovoiy 30 bed increment or 
portion thereafter. 

{2} On e full tim e qualifi e d alooholism. drug abuo e 

or substanc e abus e prof e ssional or one full tim e 
certified alcoholism, drug abuse or substance 
abuse counselor for facilities having 1 1 or more 
b e ds and — fof — e very ten bod inor e ment or 
portion thereafter. 

(b) A minimum of one staff member shall be present in 
the facility when clients are present in the facility. 

(c) In facilities that serve minors, a minimum of one staff 
member for each five or fewer minor clients shall be on 
duty during waking hours when minor clients are present. 

(d) Any qualified alcoholism, drug abuse or substance 
abuse professional who is not certified shall become 
certified by the North Carolina Substance Abuse 
Professional Certification Board within 26 months from the 
date of employment, or from the date an unqualified person 
meets the requirements to be qualified, whichever is later. 

(e) Each direct care staff member shall receive continuing 
education to include understanding of the nature of 
addiction, the withdrawal syndrome, group therapy, and 
family therapy. 

(f) Each direct care staff member in a facility that serves 
minors shall receive specialized training in youth 
development and therapeutic techniques in working with 
youth. 

(g) Each facility shall have at least one staff member on 
duty trained in the following areas: 

(1) alcohol and other drug withdrawal symptoms; 



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10:13 



PROPOSED RULES 



and 
(2) symptoms of secondary complications to 
alcoholism and drug addiction. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3403 OPERATIONS 

(a) Each facility shall provide or have access to the 
following services: 

(1) individual, group or family therapy for each 
client; 

(2) educational counseling, including schools for 
minors ; 

(3) vocational counseling; 

(4) job development and placement; 

(5) money management; 

(6) nutrition education; and 

(7) referrals to supportive services including 
Alcoholics Anonymous, Narcotics Anonymous, 
legal counseling, vocational training and 
placement. 

(b) The facility shall have a written schedule for daily 
routine activities. 

(c) The facility shall establish a schedule for the provision 
of treatment and rehabilitation services. 

(d) Before discharging the client, the facility shall 
complete a discharge plan for each client and refer each 
client who has completed residential treatment to an 
outpatient or residential/rehabilitation facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3500 - OUTPATIENT FACILITIES FOR 

INDIVIDUALS WITH SUBSTANCE 

ABUSE DISORDERS 

.3501 SCOPE 

Outpatient facilities provide periodic service for 
individuals with substance abuse disorders. Outpatient 
services include individual, group, family, and educational 
counseling. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3502 STAFF 

(a) The services of a certified alcoholism counselor, a 
certified drug abuse counselor or a certified substance abuse 
counselor shall be available to each client. 

(b) Each facility shall have at least one staff member on 
duty trained in the following areas: 

(1) alcohol and other drug withdrawal symptoms; 
and 

(2) symptoms of secondary complications to 
alcoholism and drug addiction. 

(c) Each direct care staff member shall receive continuing 
education to include understanding of the nature of 
addiction, the withdrawal syndrome, group therapy, family 



therapy and other treatment methodologies. 

(d) Each direct care staff member in an outpatient facility 
that serves minors shall receive specialized training in youth 
development and therapeutic techniques in working with 
youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3503 OPERATIONS 

(a) Group size shall be limited to a maximum of 20 
participants. 

(b) Before discharging the client, the facility shall 
complete a discharge plan for each client and refer each 
client who has completed services to the level of treatment 
or rehabilitation in accordance with the client needs. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3600 - OUTPATIENT NARCOTIC 
ADDICTION TREATMENT 

.3601 SCOPE 

(a) An outpatient narcotic addiction treatment facility 
provides periodic services designed to offer the individual an 
opportunity to effect constructive changes in his lifestyle by 
using methadone or other medications approved for use in 
narcotic addiction treatment in conjunction with the 
provision of rehabilitation and medical services. 

(b) Methadone and other medications approved for use in 
narcotic addiction treatment are also tools in the 
detoxification and rehabilitation process of a narcotic 
dependent individual. 

(c) For the purpose of detoxification, methadone and 
other medications approved for use in narcotic addiction 
treatment are administered in decreasing doses for a period 
not to exceed 180 days. 

(d) For individuals with a history of being physiologically 
addicted to a narcotic for at least one year before admission 
to the service, methadone and other medications approved 
for use in narcotic addiction treatment may also be used in 
maintenance treatment. In these cases, methadone and other 
medications approved for use in narcotic addiction treatment 
may be administered or dispensed in excess of 180 days and 
should be administered in stable and clinically established 
dosage levels. 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. 
Part 2 § 291.505; 21 C.F.R. Part 1300. 

.3602 DEFINITIONS 

In addition to terms defined in G.S. 122C-3 and Rule 

.0103 of this Subchapter, the following definitions shall also 

apply: 

(1) "Methadone" hydrochloride is a synthetic narcotic 

analgesic with multiple actions quantitatively 

similar to those of morphine, most prominent of 

which involves the central nervous system and 



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1123 



PROPOSED RULES 



organs composed of smooth muscle. The 
principal actions of therapeutic value or analgesia 
and sedation are detoxification or temporary 
maintenance in narcotic addiction. The methadone 
abstinence syndrome, although quantitatively 
similar to that of morphine differs in that the onset 
is slower, the course more prolonged, and the 
symptoms are less severe. 
(2) "Other medications approved for use in narcotic 
addiction treatment" means those medications 
approved by the Food and Drug Administration 
for use in narcotic addiction treatment and also 
approved for accepted medical uses under the 
North Carolina Controlled Substances Act. 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. 
Part 2 § 291.505; 21 C.F.R. Part 1300. 

.3603 STAFF 

(a) A minimum of one certified drug abuse counselor or 
certified substance abuse counselor to each 50 clients shall 
be on the staff of the facility. If the facility falls below this 
prescribed ratio, and cannot meet the prescribed ratio by 
employing a counselor who is certified, then it may employ 
an uncertified counselor as long as this individual meets the 
certification requirements within a maximum of 26 months 
from the date of employment. 

(b) Each facility shall have at least one staff member on 
duty trained in the following areas: 

(1) drug abuse withdrawal symptoms; and 

(2) symptoms of secondary complications to drug 
addiction. 

(c) Each direct care staff member shall receive continuing 
education to include understanding of the following: 

(1) nature of addiction; 

(2) the withdrawal syndrome; 

(3) group and family therapy; and 

(4) infectious diseases including HIV, sexually 
transmitted diseases and TB. 

(d) Each facility shall have staff to provide or secure the 
following services: 

(1) individual, group or family therapy for each 
client; 

(2) educational counseling; 

(3) vocational counseling; 

(4) job development and placement; 

(5) money management; 

(6) nutrition education; and 

(7) referrals to supportive services including 
Alcoholics Anonymous, Narcotics Anonymous, 
legal counseling, vocational training and 
placement. 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. 
Part 2 § 291.505;' 21 C.F.R. Part 1300. 

.3604 OPERATIONS 



(a) Hours. Each facility shall operate seven days per 
weekj 12 months per year. Daily, weekend and holiday 
medication dispensing hours shall be scheduled to meet the 
needs of the client. 

(b) Compliance With FDA/NIDA Regulations. Each 
facility shall be approved by the Food and Drug 
Administration of the United State Department of Health and 
Human Services and shall be in compliance with all Food 
and Drug Administration/National Institute on Drug Abuse 
Narcotic Addiction Treatment regulations in 21 C.F.R. Part 
2 § 291.505. These regulations are available from the Food 
and Drug Administration, 5600 Fishers Lane, Rockville, 
Maryland 20857 at no cost. The material adopted by 
reference in this Rule includes subsequent amendments and 
editions of the referenced material. 

(c) Compliance With DEA Regulations. Each facility 
shall be currently registered with the Federal Drug 
Enforcement Administration and shall be in compliance with 
all Drug Enforcement Administration regulations pertaining 
to narcotic addiction treatment programs codified in 21 
C.F.R., Food and Drugs, Part 1300 to end. These 
regulations are available from the United States Government 
Printing Office, Washington, D.C. 20402 at a cost of four 
dollars and fifty cents ($4.50) per copy. The material 
adopted by reference in this Rule includes subsequent 
amendments and editions. 

(d) Compliance With State Authority Regulations. Each 
facility shall be approved by the State Authority for Narcotic 
Addiction Treatment, DMH/DD/SAS, 325 N. Salisbury 
Street, Raleigh, N.C. 2760, which is the "state authority" 
as defined in the Food and Drug Administration/National 
Institute on Drug Abuse Narcotic Addiction Treatment 
Regulations in 21 C.F.R. Part 2, 291.505, and is the agency 
designated by the Governor or other appropriate official to 
exercise the responsibility and authority within the state or 
territory for governing the treatment of narcotic addiction 
with a narcotic drug. The referenced material includes 
subsequent editions and amendments, and may be obtained 
from the Food and Drug Administration, Division of 
Scientific Investigations, Regulatory Management Branch, 
7520 Standish Place, Room 115, Rockville, Maryland 20855 
at no cost. 

(e) Take-Home Supplies For Holidays. Take-home 
dosages of methadone for holidays shall be authorized by 
the facility physician on an individual client basis according 
to the following: 

(1) An additional one-day supply of methadone may 
be dispensed to each eligible client (regardless of 
time in treatment) for Independence Day, 
Thanksgiving, Christmas, New Year's and other 
official state holidays. 

(2) No more than a three-day supply of methadone 
may be dispensed to any eligible client because 
of holidays. This restriction shall not apply to 
a client who is receiving a six-day take-home 
supply of methadone. 

(f) Withdrawal From Medications For Use In Narcotic 



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PROPOSED RULES 



Addiction Treatment. The risks and benefits of withdrawal 
from methadone or other medications approved for use in 
narcotic addiction treatment shall be discussed with each 
client at the initiation of treatment and annually thereafter. 

(g) Random Testing. Random testing for alcohol and 
other drugs shall be conducted on active narcotic addiction 
treatment clients. 

(h) Client Discharge Restrictions. No client shall be 
discharged from the facility while physically dependent upon 
methadone or other medications approved for use in narcotic 
addiction treatment unless the client is provided the 
opportunity to detoxify from the drug. 

Statutory Authority G.S. 122C-26; 143B-147; 21 C.F.R. 
Part 2 § 291.505. 

SECTION .3700 - DAY TREATMENT FACILITIES 

FOR ESfDrVTDUALS WITH SUBSTANCE 

ABUSE DISORDERS 

.3701 SCOPE 

(a) Day treatment facilities provide services in a group 
setting for individuals who need more structured treatment 
for substance abuse than that provided by outpatient 
treatment, and may serve as an alternative to a 24-hour 
treatment program. 

(b) Day treatment services shall have structured 
programs, which may include individual, group, and family 
counseling, recreational therapy, peer groups, substance 
abuse education, life skills education, and continuing care 
planning. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3702 STAFF 

(a) The staff of the day treatment facility shall include a 
minimum of one full-time or equivalent certified alcoholism, 
drug abuse or substance abuse counselor for every 16 or 
fewer clients. 

(b) If the facility falls below the prescribed ratio in 
Paragraph (a) of this Rule, and cannot meet the prescribed 
ratio by employing a counselor who is certified, then it may 
employ an uncertified counselor as long as this individual 
meets the certification requirements within a maximum of 
26 months from the date of employment. 

(c) In facilities which provide services to minors, a 
minimum of two staff members shall be present with minor 
clients at all times, and a minimum ratio of one staff 
member to each eight or fewer clients shall be maintained. 
In the event that only one minor client is in the facility, only 
one staff member is required to be present. 

(d) Each facility shall have at least one staff member on 
duty trained in the following areas: 

(1) alcohol and other drug withdrawal symptoms; 
and 

(2) symptoms of secondary complications due to 
alcoholism and drug addiction. 



(e) Each direct care staff member shall receive continuing 
education to include understanding of the nature of 
addiction, the withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

(f) Each direct care staff member in a day treatment 
facility that serves minors shall receive specialized training 
in youth development and therapeutic techniques in working 
with youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

.3703 OPERATIONS 

(a) Each day treatment facility shall operate at least three 
days per week, but not fewer than 12 hours per week. 

(b) A client shall be provided a structured program of 
treatment for a minimum of five hours per week. 

(c) Before discharging the client, the facility shall 
complete a discharge plan for each client and refer each 
client who has completed services to the level of treatment 
or rehabilitation in accordance with the client needs 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .3800 - ALCOHOL AND DRUG 
EDUCATION TRAFFIC SCHOOLS (ADETS) 

.3801 SCOPE 

(a) An alcohol and drug education traffic school (ADETS) 
is a prevention and intervention service which provides an 
educational program primarily for first offenders convicted 
of driving while impaired as provided in G.S. 20-179(m). 

(b) Provisions shall be made for family members and 
other non-students to attend classes if the instructor 
determines that their presence will not disrupt the class or 
result in class size exceeding the maximum. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.3802 STAFF 

(a) Certification. Each class shall have a designated 
instructor who is certified by DMH/DD/SAS. An individual 
seeking initial certification as an instructor shall: 

(1) be a high school graduate or its equivalent; 

(2) have a working knowledge of alcohol, other 
drugs, and traffic safety issues; 

(3) complete and submit the original and one copy 
of the application to the DWI/Criminal Justice 
Branch of DMH/DD/SAS; 

(4) complete an initial in-service training program 
provided by DMH/DD/SAS; and 

(5) demonstrate skills by teaching all classes. 

(b) Notice. DMH/DD/SAS shall notify the applicant of 
the decision regarding initial certification within 60 days 
after receipt of the application. 

(c) Duration. The duration of full certification shall be 
for a maximum period of two years. 

(d) Provisional certification. An applicant who does not 



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PROPOSED RULES 



obtain initial certification may be issued a provisional 
certification, and shall be: 

(1) informed as to the specific reasons why full 
certification was denied; 

(2) provided with eligibility requirements necessary 
to reapply for full certification; and 

(3) informed regarding the right to appeal the 
certification decision. 

(e) Recertification: 

(1) Individuals seeking recertification shall submit 
documentation of having received a minimum of 
48 hours of training in alcohol and drug 
education traffic subjects during the previous 
two years. This training shall be provided by or 
subject to approval by DMH/DD/SAS. 
Documentation of having received this training 
shall be submitted to the DWl/Criminal Justice 
Branch at least 30 days prior to expiration of the 
current certification. 

(2) An individual seeking recertification for each 
subsequent two-year cycle shall submit 
documentation of having received 30 hours of 
training in alcohol and drug education traffic 
subjects during the preceding two years; 

(3) The training shall be provided or approved by 
DMH/DD/SAS; and 

(4) Documentation of this training shall be submitted 
to the DWI/Criminal Justice Branch of 
DMH/DD/SAS at least 90 days prior to 
expiration of the existing certification. 

(f) Revocation or suspension of certification may be 
issued for failure to: 

(1) cover the required subjects outlined in the 
prescribed curriculum; 

(2) maintain accurate student records; 

(3) comply with certification requirements; 

(4) report all students who complete the prescribed 
course to DMH/DD/SAS in a timely manner. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

.3803 OPERATIONS 

(a) Curriculum. School instructors shall use the 
curriculum specified in the "Curriculum Manual for Alcohol 
and Drug Education Traffic Schools" (DMH/DD/SAS 
publication APSM 125-1, 130-1). 

(1) The program of instruction shall consist of not 
less than ten hours of classroom instruction as 
specified in the "Curriculum Manual for Alcohol 
and Drug Education Traffic Schools." 

(2) Each school may provide up to three additional 
hours for classroom time and such activities as 
an initial student assessment, data gathering or a 
summary conference with students. Information 
regarding assessments is available in 
"Information for Conducting DWI Substance 
Abuse Assessments and Providing Treatment" 



(DMH/DD/SAS publication APSP 125-2, 
130-2). 

(b) Class Schedule. Each school shall provide a written 
notice to each student referred by the court as to the time 
and location of all classes which the student is scheduled to 
attend. 

(1) Each student shall be scheduled to attend the 
first and the last class sessions in the order 
prescribed in the curriculum manual. 

(2) Classes shall be scheduled to avoid the majority 
of employment and educational conflicts. 

(3) Each school shall have a written policy which 
allows for students to be excused from assigned 
classes by the instructor provided that the 
excused absence is made up and does not 
conflict with Subparagraph (h)(1) of this Rule. 

(4) No class session shall be scheduled or held for 
more than three hours excluding breaks on any 
day or evening. 

(c) Class Size. Class size shall be limited to a maximum 
of 35 persons. 

fd) — Court Liai s ons. — Eaoh sohool shall d e v e lop and 
impl e m e nt writt e n proc e dur e s of liaison with th e court. 
Those procedures shall bo agreed upon and signed by the 
designated employee of the school and by tho clork of court, 
judg e and di s trict attorn e y. Those proc e dur e s shall inolud e 
at least th e following: 

(+) the — procedure — used — te — obtain — referral — ef 

offenders from tho court; 

(2) a provision that th e s ohool will notify e aoh 

s tud e nt of th e tim e , — dat e , — and looation — ef 
assigned olassos; 

(£) tho procedure — for notifying tho court of a 

stud e nt's suoo e osful completion of th e course; 

(4) oommunioating — te — stud e nts — m — writing — the 

requirements — for complet i ng tho course and 
developing a procedure to notify tho court of 
non complianc e coo es . 

(d) DWI Services Certificates Of Completion. The 
original copy of the North Carolina Department of Human 
Resources DWI Services Certificates of Completion shall be 
forwarded to DMH/DD/SAS for review within two weeks 
of completion of all services. 

Statutory Authority G.S. 20-179; 20-179.2; 143B-147. 

SECTION .3900 - DRUG EDUCATION SCHOOLS 
(DES) 

.3901 SCOPE 

A drug education school (DES) is a prevention and 
intervention service which provides an educational program 
for drug offenders as provided in the North Carolina 
Controlled Substances Act and Regulations. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 
143B-147. 



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.3902 STAFF 

Each class shall have a designated instructor who is 
certified by the DMH/DD/SAS. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 
143B-147. 

.3903 OPERATIONS 

(a) Population Served: 

(1) Each school shall be designed primarily to serve 
individuals who are using drugs at the 
experimental, social-recreational or abusive 
levels, but who are not drug dependent or 
engaged in drug dealing. 

(2) First offenders referred by the court in 
accordance with G.S. 90-% and G.S. 90-113.14 
(Conditional Discharges and Expunction of 
Records for First Offense) shall be served. 

(3) Each school shall establish a written policy 
regarding participation of persons referred from 
other sources. These persons may be enrolled 
on a space-available basis. 

(b) Initial assessment. Each school shall provide an 
initial assessment for each potential student prior to the first 
class session to determine whether the student is eligible to 
attend the school and to determine if referral to a treatment 
resource is appropriate. 

(c) Class Size: 

(1) Class size shall be limited to a maximum of 35 
participants; however, the affective education 
portions of the class shall be limited to a 
maximum of 20 participants. 

(2) Provisions shall be made for family members 
and guardians of students to audit classes; 
however, such individuals shall not be counted 
in the maximum class size. 

(d) Curriculum. School instructors shall use the 
curriculum specified in the "North Carolina Curriculum 
Manual for Drug Education Schools" (DMH/DD/SAS 
publication APSM 125-2): 

(1) The program of instruction shall consist of not 
less than 15 hours of classroom instruction as 
specified in "The North Carolina Curriculum 
Manual for Drug Education Schools." 

(2) Each school may provide up to five additional 
hours of activity for classroom time and such 
activities as parent/child communication session, 
data gathering or a summary conference with 
students. 

(e) Class Schedule. Each school shall provide a written 
notice to each student referred by the court as to the time 
and location of all classes which the student is scheduled to 
attend. 

(1) Each student shall be scheduled to attend all 
sessions as described in the approved 
curriculum. 



(2) Classes shall be scheduled to avoid the majority 
of employment and educational conflicts. 

(3) Each school shall have a written policy which 
allows for students to be excused from assigned 
classes by the instructor provided that the 
excused absence is made up and does not 
conflict with (b) of this Standard. 

(4) Students shall have an opportunity to complete 
classes within the 150 day time limit for the 
course specified in G.S. 90-96 and 90-113.14 
(Conditional Discharges and Expunction of 
Records for First Offense). The course 
instructor shall monitor the 150 day time limit 
and notify the court if the student does not 
complete the school within that time limit. 

(5) No class session shall be scheduled or held for 
more than three hours excluding breaks on any 
day or evening. 

(0 Court Liaison: 

(1) Each school shall develop and implement written 
procedures of liaison with the court. These 
procedures shall include at least the following: 

(A) the procedure used to obtain referral of 
offenders from the court; 

(B) a provision that the school will notify each 
student of the time, date, and location of 
assigned classes; 

(C) the procedure for notifying the court of a 
student's successful completion of the course; 

(D) communicating to students in writing the 
requirements for successfully completing the 
course and developing a procedure to notify 
the court of noncompliance cases. 

(2) These procedures shall be agreed upon and 
signed by the designated employee of the school 
and, if possible, by the clerk of court, judge and 
district attorney. 

Statutory Authority G.S. 90-96; 90-96.01; 90-113.14; 
143B-147. 

SECTION .4000 - TREATMENT ACCOUNTABILITY 
FOR SAFER COMMUNrTIES (TASC) 

.4001 SCOPE 

(a) Treatment Accountability for Safer Communities 
(TASC) is a service designed to offer a supervised 
community -based alternative to incarceration or potential 
incarceration primarily to individuals who are alcohol or 
other drug abusers, but also to individuals who are mentally 
ill or developmentally disabled and who are involved in 
crimes of a non-violent nature. 

(b) This service provides a liaison between the criminal 
justice system and alcohol and other drug treatment and 
educational services. It provides screening, identification, 
evaluation, referral and monitoring of alcohol or other drug 
abusers for the criminal justice system. 



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Statutory Authority G.S. 143B-147. 

.4002 STAFF 

(a) Each TASC staff member shall have a baccalaureate 
degree in either criminal justice or human service related 
fields or an associate of arts degree with four years 
experience in criminal justice or human service related 
fields. 

(b) TASC personnel shall receive continuing education in 
the following areas: 

(1) the physiological, sociological and psychological 
correlates of substance abuse; 

(2) substance abuse treatment; 

(3) judicial and political issues related to substance 
abuse; and 

(4) substance abuse treatment and rehabilitation 
resources. 

(c) Each TASC program shall provide its staff with: 

(1) a revised and documented training plan, 
completed annually; 

(2) a schedule for implementation of the plan; 

(3) documentation of at least 32 hours annually of 
TASC relevant training which shall include, but 
need not be limited to, the following: 

(A) TASC mission and philosophy; 

(B) pharmacology; 

(C) sentencing practices; 

(D) assessment of drug dependency; 

(E) substance abuse treatment modalities and 
expectations; and 

(F) case management. 

Statutory Authority G.S. 143B-147. 

.4003 OPERATIONS 

(a) Population Served. Each TASC program shall be 
designed to serve individuals who have a documented 
substance abuse problem and who are involved with the 
criminal justice system. 

(b) Screening and Identification. Each TASC program 
shall: 

(1) provide to potential referral sources a process by 
which identification, screening and referrals may 
be accomplished. The process shall include: 

(A) procedures which delineate the method for 
identifying TASC-eligible clients; 

(B) documented evidence that the program is 
seeking to have clients referred to it through 
the justice system. This evidence shall be in 
the form of a written agreement that shall be 
signed by the appropriate local judicial official; 

(C) eligibility criteria for TASC client 
participation; and 

(D) written evidence that cooperating justice 
system component and treatment agencies are 
aware of, and have a clear understanding of, 
who is eligible to receive TASC services. 



(2) maintain a listing of community -based treatment, 

education, and other referral services that 
includes admission and referral criteria. 

(c) Evaluation. Each TASC program shall conduct or 
secure an assessment or evaluation for each prospective 
client referred from the criminal justice system which shall 
include: 

(1) documentation that a standardized TASC 
assessment process is utilized to ensure that all 
eligibility criteria are met and that standardized 
TASC assessment instruments and procedures 
are used to confirm: 

(A) a substance abuse dysfunction; 

(B) current criminal charges; and 

(C) client criminal history. 

(2) a face to face assessment interview. 

(d) Referral. Each TASC program shall ensure that: 

(1) each client is referred to an appropriate level of 
care x including treatment for mental illness or 
services for a developmental disability, within 48 
hours of the TASC assessment. In the event 
that immediate placement is unavailable, office 
monitoring shall be provided. 

(2) documentation in the signed agreement indicates 
that the potential TASC client has been informed 
and understands program requirements. 

(e) Monitoring/Reporting. Each TASC program shall 
develop and implement a monitoring and reporting 
procedure for each client, which shall include, but need not 
be limited to: 

(1) notification to the criminal justice system 
component and treatment provider of each 
client's TASC acceptance; 

(2) an approved individual TASC case management 
completed by the TASC program and the client 
within 30 days of admission; 

(3) documentation requirements for monthly 
progress reports from the TASC program to the 
referring agency; 

(4) notification, within 24 hours, of any client's 
TASC termination: and 

(5) documentation in the TASC file of progress for 
each TASC client from admission to discharge. 

(f) Success/Failure Criteria: 

(1) Each TASC program shall develop and 
implement procedures to measure client success 
or failure, including readmission criteria. 

(2) All cooperating justice system components and 
treatment agencies shall be aware of this criteria 
as documented in a signed agreement. 

(g) Management Information System. Each TASC 
program shall report, monthly, to the DWI/Criminal Justice 
Branch, TASC program data using the standardized data 
form approved by the DMH/DD/SAS. 

(h) TASC Unit Organization: 
(1) Each area program or contract agency shall 
ensure that TASC is recognized as a distinct 



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service and include it on the organizational 
chart. 
(2) The area program and/or contract agency shall 
appoint a qualified TASC administrator with a 
specific job description. 

Statutory Authority G.S. 122C-57; 143B-147. 

SECTION .4100 - THERAPEUTIC HOMES 

FOR INDIVIDUALS WITH SUBSTANCE 

ABUSE DISORDERS AND THEW CHILDREN 

.4101 SCOPE 

(a) A therapeutic home is a 24-hour professionally 
supervised residential facility which provides trained staff 
who work intensively with individuals with substance abuse 
disorders who provide or have the potential to provide 
primary care for their children. 

(b) These programs shall include assessment/referral, 
individual and group therapy, therapeutic parenting skills, 
basic independent living skills, educational groups, child 
supervision, aftercare, follow-up and access to preventive 
and primary health care. 

(c) The facility may utilize services from another facility 
providing treatment, support or medical services. 

(d) Services are designed to provide a safe and healthy 
environment for clients and their children. 

(e) Each facility shall assist the individual with the 
development of independent living skills in preparation for 
community based living. 

Statutory Authority G.S. 143B-147. 

.4102 STAFF 

(a) Each individual and child admitted to a facility shall 
receive services from a qualified professional as appropriate 
to his or her needs who has responsibility for the client's 
treatment program. . Each individual and child shall receive 
age-appropriate, therapeutic professional services. 

(b) A minimum of one staff member shall be present in 
the facility with an individual at all times unless the 
designated qualified professional has documented in the 
individual client plan that the client may be without 
supervision in certain clearly delineated instances. 

(c) A minimum of one staff member shall be present 
when one or more children are in the facility 

(d) Each individual identified as a therapeutic residential 
staff member shall receive pre-service training in the 
following areas: 

(1) Confidentiality, 

(2) Client rights; 

(3) Crisis management; 

(4) Developmentally appropriate child behavior 
management; 

(5) Medication education and administration; 

(6) Symptoms of secondary complications to 
substance abuse or drug addition; 



(7) Signs and symptoms of pre-term labor; and 

(8) Signs and symptoms of post-partum 
complications. 

(e) Adequate training to support the therapeutic process 
shall also be provided to all therapeutic residential staff in 
the following areas within 60 days of employment: 

(1) therapeutic parenting skills; 

(2) dynamics and needs of emotionally disturbed and 
substance abusing individuals and their children; 

(3) multi-cultural and gender specific issues; 

(4) issues of substance abuse and the process of 
recovery; 

(5) HIV/AIDS; 

(6) sexually transmitted diseases; 

(7) drug screening; 

(8) domestic violence, sexual abuse, and sexual 
assault; 

(9) pregnancy: delivery and well child care; and 
(10) infant feeding, including breast feeding. 

Statutory Authority G.S. 143B-I47. 

.4103 OPERATIONS 

(a) Admissions: 

(1) Admission to the facility shall be a joint decision 
of the designated qualified professional, the 
provider of residential care, and the individual. 

(2) The individual shall have the opportunity for at 
least one pre-admission visit to the facility 
except for an emergency admission. 

(b) Coordination Of Treatment And Education To 
Children In The Facility. The appropriate education 
program for a child shall be coordinated with his/her 
treatment/habilitation plan. 

(c) Emergency Medical Services. Each facility will 
ensure the availability of emergency medical services to 
include: 

(1) Immediate access to a physician; 

(2) Acute care hospital services, and 

(3) Assistance from a local ambulance service, 
rescue squad or other trained medical personnel 
within 20 minutes of the facility. 

(d) Schedules: 

(1) The facility shall have a written schedule for 
daily routine activities. 

(2) The facility shall establish a schedule for the 
provision of treatment and rehabilitation 
services. 

(e) Discharge plan . Before discharging the client, the 
facility shall complete a discharge plan for each client and 
refer each client who has completed services to the level of 
treatment or rehabilitation in accordance with the client 
needs 

Statutory Authority G.S. 143B-I47. 

.4104 PHYSICAL PLANT 



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PROPOSED RULES 



(a) Each facility shall have the capacity to serve a 
minimum of three individuals. 

(b) Client bedrooms shall have at least 80 square feet for 
a single occupancy and the following additional square feet 
for clients' children: 

(1) 40 square feet for each infant and toddler; 

(2) 60 square feet for each pre-school age child; and 

(3) 80 square feet for each child above age six. 

Statutory Authority G.S. 143B-147. 

SECTION .4200 - SUBSTANCE ABUSE PRIMARY 
PREVENTION SERVICES 

.4201 SCOPE 

Substance abuse primary prevention programs focus on the 
prevention of alcohol, tobacco and other drug (ATOD) 
abuse and aim to educate and counsel individuals on such 
abuse, and provide for activities to reduce the risk of such 
abuse. They are directed towards the general population or 
towards individuals in targeted high risk groups who are not 
in need of treatment in order to reduce the incidence of 
health related problems and promote positive behaviors and 
well-being. 

Statutory Authority G.S. 143B-147. 

.4202 STAFF 

Each area program shall designate a director for substance 
abuse primary prevention services. 

Statutory Authority G.S. 143B-147. 

.4203 OPERATIONS 

A comprehensive primary prevention program shall 
include activities and services in each of the following six 
primary prevention strategies: 

(1) Information Dissemination 

(2) Prevention Education 

(3) Alternative Activities 

(4) Problem Identification and Referral 

(5) Community-Based Process 

(6) Environmental Approaches 

Statutory Authority G.S. 143B-147. 

SECTION .4300 - .4900 - RESERVED FOR FUTURE 
CODIFICATION 

SECTION .5000 - FACILITY BASED CRISIS 

SERVICE FOR INDrVTOUALS OF ALL 

DISABILITY GROUPS 

.5001 SCOPE 

(a) A facility-based crisis service for individuals who 
have a mental illness, developmental disability or substance 
abuse disorder is a 24-hour residential facility which 



provides disability-specific care and treatment in a 
nonhospital setting for individuals in crisis who need 
short-term intensive evaluation, or treatment intervention or 
behavioral management to stabilize acute or crisis situations. 
(b) This facility is designed as a time-limited alternative 
to hospitalization for an individual in crisis. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5002 STAFF 

(a) Each facility shall maintain staff to client ratios that 
ensure the health and safety of clients served in the facility. 

(b) Staff with training and experience in the provision of 
care to the needs of clients shall be present at all times when 
clients are in the facility . 

(c) The facility shall have the capacity to bring additional 
staff on site to provide more intensive supervision, 
treatment, and/or management in response to the needs of 
individual clients. 



(d) The treatment of each client shall be under the 
supervision of a physician, and a physician shall be on call 
on a 24-hour per day basis. 

(e) Each direct care staff member shall have access at all 
times to qualified professionals who are qualified in the 
disability area(s) of the clients with whom the staff is 
working. 

(f) Each direct care staff member shall be trained and 
have basic knowledge about mental illnesses and 
psychotropic medications and their side effects; mental 
retardation and other developmental disabilities and 
accompanying behaviors; the nature of addiction and 
recovery and the withdrawal syndrome: and treatment 
methodologies for adults and children in crisis. 

(g) Staff supervision shall be provided by a qualified 
professional as appropriate to the client's needs. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5003 OPERATIONS 

(a) Each facility shall have protocols and procedures for 
assessment, treatment, monitoring, and discharge planning 
for adults and for children of each disability group served in 
the facility. Protocols and procedures shall be approved by 
the area program's medical director or the medical 
director's designee, as well as the director of the appropriate 
disability unit of the area program. 

(b) Discharge Planning and Referral to 
Treatment/Rehabilitation Facility. Each facility shall 
complete a discharge plan for each client that summarizes 
the reason for admission, intervention provided, 
recommendations for follow-up, and referral to an outpatient 
or day program or residential treatment/ rehabilitation 
facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5100 - COMMUNITY RESPrTE 



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SERVICES FOR INDIVIDUALS OF ALL 
DISABILITY GROUPS 

.5101 SCOPE 

(a) Community respite is a service which provides 
periodic relief for a family or family substitute on a 
temporary basis. While overnight care is available, 
community respite services may be provided for periods of 
less than 24 hours on a day or evening basis. Respite care 
may be provided by the following models: 

(1) Center-based respite - the individual is served at 
a designated facility. While an overnight 
capacity is generally a part of this service, a 
respite center may provide respite services to 
individuals for periods of less than 24 hours on 
a day or evening basis. 

(2) Private home respite - the individual is served in 
the provider's home on an hourly or overnight 
basis. 

(b) Private home respite services serving individuals are 
subject to licensure under G.S. 122C, Article 2 when: 

(1) more than two individuals are served 
concurrently; or 

(2) either one or two children, two adults, or any 
combination thereof are served for a cumulative 
period of time exceeding 240 hours per calendar 
month. 

Statutory Authority G.S. 122C-22(a)(8); 122C-26; 143B-147. 



backup procedures are sufficient to allow only 
one staff member on duty. 

(3) During sleeping hours, a minimum of two staff 
members shall be available in the immediate 
area unless emergency backup procedures are 
sufficient to allow only one staff member on 
duty. 

(4) On occasions when only one client is in the 
facility, a minimum of one staff member shall be 
on duty during waking and sleeping hours. 

(e) In a private home respite, at least one approvod 
respite provider a pproved according to guidelines established 
by the governing body and who has a basic understanding 
of the client's disability shall supervise the client at all 
times. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5103 OPERATIONS 

(a) The governing body shall maintain an application for 
each provider of private home respite which includes the 
following: 

(1) identifying information; 

(2) preference of time when respite care can be 
provided; 

(3) age and gender preference of respite clients. 

(b) Only the respite program director or his designee shall 
arrange respite care between the client's family and the 
respite provider. 



.5102 STAFF 

(a) The Program Director shall be either: 

(1) a graduate of a college or university with a four- 
year degree in human service-related field; or 

(2) a high school graduate or equivalent with at least 
three years of experience in human service 
programming. 

(b) All staff shall be at least 16 years of age. Any staff 
under 18 years of age shall work directly under the 
supervision of an experienced employee. All staff ahall bo 
at least 1 8 yoare of ago except those who are 16 or 17 years 
of ago and who ar e working dir e otly und e r th e oupervioion 
of an e xp e ri e nc e d e mploy ee . 

(c) Each staff member shall have a current medical 
statement on file with the facility. 

(d) The following minimum staff requirements apply to 
community center-based respites: 

(1) During waking hours, in a facility that serves 
four or more clients, a minimum of two staff 
members shall be on duty when five or fewer 
clients are in the facility. If more than five 
clients are being served, a minimum ratio of one 
staff member for every additional five or fewer 
clients shall be maintained. 

(2) During waking hours, in a facility that serves 
three or fewer clients, a minimum of two staff 
members shall be on duty unless emergency 



Statutory Authority G.S. 122C-26; 143B-147. 

.5104 PHYSICAL PLANT 

In private home respite services: 

(1) A minimum of one ionized smoke detector wired 
into the house current shall be installed and 
centrally located. Additional smoke detectors that 
are not wired into the house current shall be 
checked at least monthly by the provider. 

(2) A dry powder or CO(2) type fire extinguisher 
shall be located in the kitchen and shall be 
checked at least annually by the local fire 
department. Each provider of respite care shall 
receive instruction in its use prior to the initiation 
of service. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5200 - RESIDENTIAL THERAPEUTIC 
(HABILITATIVE) CAMPS FOR CHILDREN AND 
ADOLESCENTS OF ALL DISABILITY GROUPS 

.5201 SCOPE 

(a) A residential therapeutic (habilitative) camp is a 
residential treatment facility provided in a camping 
environment which is designed to help individuals develop 
behavior control, coping skills, self-esteem and interpersonal 



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PROPOSED RULES 



skills. 

(b) Services may include supervised peer interaction, 
provision of healthy adult role models, and supervised 
recreational, educational and therapeutic experiences. 

(c) Each facility shall be designed to serve children and 
adolescents six through 17 years of age who have mental 
illness, developmental disability or substance abuse 
disorders. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5202 STAFF 

(a) Each facility designed primarily to serve campers who 
are emotionally disturbed, have a mental illness, 
developmental disability or substance abuse, shall have a 
program director who has: 

(1) a minimum of two years' experience in child or 
adolescent services specific to the camper's 
needs; and 

(2) who has camping experience, and who has 
educational preparation in administrative, 
education, social work, nursing, psychology or 
a related field. 

(b) A minimum of two staff members shall be on duty for 
every eight or fewer campers. 

(c) Emergency medical treatment shall be available within 
one hour of the facility. 

(d) Psychiatric consultation shall be available to the 
facility. 

(e) An emergency on-call staff shall be readily available 
by page and able to reach campers within one hour. 

(f) Staff assigned to the facility shall be trained to manage 
the children or adolescents individually and as a group. 

(g) Each staff member who works directly and on a 
regularly scheduled basis with clients shall have a current 
medical statement on file with the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5203 OPERATIONS 

(a) Each facility shall develop and implement written 
policies and procedures on basic care and safety. 

(b) In accordance with the schedules developed by the 
Program Director, staff shall maintain the following distance 
from the campers: 

(1) During waking hours, staff shall be within sight 
or voice range of the campers. 

(2) During sleeping hours, staff shall be located 
within voice range of the campers. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5204 PHYSICAL PLANT 

(a) All sleeping units shall provide at least the following 
space: 

(1) 30 square feet per person; 

(3) six foot between heads of s leeper s ; and 



(2) 30 inches between sides of beds, 
(b) A minimum of the following shall be provided: 

(1) one shower head for each ten individuals; 

(2) one flush toilet for each ten individuals; and 

(3) one handwashing facility, adjacent to toilet 
facilities, for each 20 individuals. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5300 - THERAPEUTIC HOMES 
FOR CHILDREN AND ADOLESCENTS 

.5301 SCOPE 

(a) A therapeutic home is a 24-hour residential facility 
located in a private residence which provides professionally 
trained parent-substitutes who work intensively with 
children and adolescents who are emotionally disturbed or 
have a substance problem, or both. 

(b) The parent substitute: 

(1) provides for intensive living, social, therapeutic 
and skill-learning needs; and 

(2) receives close supervision and support from a 
qualified professional. 

(c) The facility may utilize services from a facility 
providing treatment services such as outpatient or day 
treatment 

Statutory Authority G.S. 122C-26; 143B-147. 

.5302 STAFF 

(a) Each client admitted to a facility shall receive services 
from a designated qualified mental health professional or 
qualified substance abuse professional, as appropriate, who 
has responsibility for the client's treatment, program or case 
management plan. 

(1) Each facility shall have a qualified mental health 
professional or clinical consultation by a 
qualified mental health professional if a mental 
health client resides in the facility. 

(2) A facility shall have a qualified alcoholism, drug 
abuse or substance abuse professional or clinical 
consultation provided by a qualified alcoholism, 
drug abuse or substance abuse professional at 
least once a week if a substance abuser resides 
in the facility. 

(b) A minimum of one therapeutic home parent shall be 
present with clients at all times unless the designated 
qualified professional has documented in the individual 
client plan that the client may be without supervision in 
certain clearly delineated instances. 

(c) The individual identified as the therapeutic home 
parent shall receive training in treatment services which 
shall include, but not be limited to, the following: 

(1) child and adolescent development; 

(2) dynamics of emotionally disturbed and substance 
abusing youth and families; 

(3) symptoms of substance abuse; 



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PROPOSED RULES 



(4) needs of emotionally disturbed and substance 
abusing youth in residential settings; 

(5) administration of medication; 

(6) confidentiality; 

(7) client rights; and 

(8) development of the individual treatment plan. 

Statutory Authority G.S. 122C-26; 143B-147. 



site at all times when clients are present in the facility. 
Statutory Authority G.S. 122C-26; 143B-147. 

.5403 OPERATIONS 

Each day activity facility shall be available three or more 
hours a day on a regularly scheduled basis at least once a 
week. 



.5303 OPERATIONS 

(a) Each facility shall serve no more than two clients. 

(b) There shall be a written agreement with the 
therapeutic home parent, and the designated qualified 
professional or placement agency which includes, but is not 
limited to, the following: 

(1) the responsibility of the provider; 

(2) confidentiality requirements; and 

(3) responsibility and procedures for securing 
emergency services. 

(c) Information regarding the client's specific needs or 
conditions shall be given to the provider prior to admission. 

(d) A copy of the agreement shall be given to the 
therapeutic home parents. 

(e) Each agency which provides services through 
contracts with the therapeutic home parents to serve clients 
in their home shall maintain an application file which 
includes identifying information. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5400 - DAY ACTIVITY FOR 

INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.5401 SCOPE 

(a) Day activity is a day/night facility that provides 
supervision and an organized program during a substantial 
part of the day in a group setting to individuals who are 
mentally ill, developmentally disabled or have substance 
abuse disorders. 

(b) Participation may be on a scheduled or drop-in basis. 

(c) The service is designed to support the individual's 
personal independence and promote social, physical and 
emotional well-being through activities such as social skills 
development, leisure activities, training in daily living skills, 
improvement of health status, and utilization of community 
resources. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5402 STAFF 

(a) Each client admitted to a facility shall receive services 
from a designated qualified mental health, developmental 
disability or substance abuse professional, as appropriate, 
who has responsibility for the client's treatment, program or 
case management plan. 

(b) Each facility shall have at least one staff member on 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5500 - SHELTERED WORKSHOPS 

FOR INDIVIDUALS OF ALL DISABDLITY 

GROUPS 

.5501 SCOPE 

(a) A sheltered workshop is a day/night facility which 
provides work-oriented services including various 
combinations of evaluation, developmental skills training, 
vocational adjustment, job placement, and sheltered 
employment to individuals of all disability groups 16 years 
of age or over who have potential for gainful employment. 
Sheltered workshops also may be known as Community 
Rehabilitation Programs (CRPs) . 

(b) This service is designed for individuals who have 
demonstrated that they do not require the intensive training 
and structure found in programs such as Adult 
Developmental and Vocational Activity Programs (ADVP) 
but have not yet acquired the skills necessary for 
competitive employment. It provides the individual 
opportunity to acquire and maintain life skills including 
appropriate work habits, specific job skills, self-help skills, 
socialization skills, and communication skills. 

(c) This service focuses on productive work activities for 
individuals who have potential for gainful employment as 
determined by Vocational Rehabilitation Services or the 
ability to participate in a sheltered employment program. 
Sheltered workshops are subject to Department of Labor 
Federal Wage and Hour Guidelines for the Handicapped. 

(d) The Rules in this Section specify licensure 
requirements applicable to sheltered workshops which serve 
individuals who are primarily mentally retarded or otherwise 
developmentally disabled; however, individuals with mental 
illness, with substance abuse disorders and severely 
physically disabled individuals may also be served within a 
sheltered workshop. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5502 STAFF 

(a) Each facility shall have a designated full-time program 
director who shall have a baccalaureate degree with one 
year of experience in developmental disability rehabilitation 
programming; be a high school graduate or equivalent with 
three years of experience in developmental disability 
programming; or be a high school graduate or equivalent 
with three years of experience in business or personnel 



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1133 



PROPOSED RULES 



management. 

(b) Each facility shall have a designated program 
coordinator who shall have a baccalaureate degree with one 
year of experience in developmental disability programming 
or be a high school graduate or equivalent with three years 
of experience in montal retardation or oth e r developmental 
disability programming. 

(c) At least one staff member shall be designated as a 
client evaluator who shall have at least a high school 
diploma, and shall have completed a five day inservice 
training program in the evaluation component of a licensed 
ADVP or sheltered workshop or in another training program 
approved by DMH/DD/SAS. 

(d) Each facility shall maintain an overall direct service 
ratio of at least one full-time or full-time equivalent direct 
care staff member for every ten or fewer clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5503 OPERATIONS 

(a) Hours. Each facility shall be available for client 
attendance at least six hours per day (exclusive of 
transportation time), five days per week. 

(b) Business Practices: 

(1) Supplies, materials or tools, if provided by the 
sheltered workshop, shall be identified as a 
separate amount in the bid price. 

(2) Wages paid to clients shall be on a piece rate, er 
hourly commensurate wage, or minimum wage 
or higher ; 

(3) Each client involved in productive work shall 
receive a written statement for each pay period 
which indicates gross pay, hours worked and 
deductions. 

(4) Prices for goods produced in the facility shall be 
equal to or exceed the cost of production 
(including commensurate wages, overhead, tools 
and materials). 

(5) Clients shall be counseled concerning their rights 
and responsibilities in such matters as wages, 
hours, working conditions, social security, 
redress for injury and the consequences of their 
own tortious or unethical conduct. 

(c) Safety Committee. A safety committee comprised of 
staff members and client representatives shall be appointed 
to review accident reports and to monitor the facility for 
safety. Minutes shall be kept of all meetings and submitted 
to the Program Director . 

(d) Handbook. Each facility shall have a client handbook 
including, but not limited to, information about services and 
activities. 

(1) The client handbook shall be written in a manner 
comprehensible to clients and reflective of adult 
status. 

(2) Each client shall be given a handbook, and the 
handbook shall be reviewed with the client. 



Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .5600 - SUPERVISED LIVING FOR 
INDIVIDUALS OF ALL DISABILrTY GROUPS 

.5601 SCOPE 

(a) Supervised living is a 24-hour facility which provides 
residential services to individuals in a home environment 
where the primary purpose of these services is the care, 
habilitation or rehabilitation of individuals who have a 
mental illness, a developmental disability or disabilities, or 
a substance abuse disorder, and who require supervision 
when in the residence. 

(b) A supervised living facility shall be licensed if the 
facility serves: 

(1) one or more minor clients; or 

(2) two or more adult clients. 

Statutory Authority G.S. 143B-147. 

.5602 STAFF 

(a) Staff-client ratios shall be determined so as to enable 
staff to respond to individualized client needs. 

(b) A minimum of one staff member shall be present at 
all times when any adult client is on the premises in any 
facility serving clients with substance abuse disorders. In 
facilities serving clients of other disability groups, a 
minimum of one staff member shall be present at all times 
when any adult client is on the premises except when the 
client has been deemed capable of remaining in the home 
without supervision for a specified time by a qualified 
professional of the operating agency or area program. The 
approval shall be documented. 

(c) Staff shall be present in a facility in the following 
client-staff ratios when more than one child or adolescent 
client is present: 

(1) children or adolescents with mental illness or 
emotional disturbance shall be served with one 
staff present for every four or fewer clients 
present; 

(2) children or adolescents with substance abuse 
disorders shall be served with a minimum of one 
staff present for every five or fewer minor 
clients present during waking hours. However, 
only one staff member need be present during 
sleeping hours if emergency back-up procedures 
as determined by the governing body are 
sufficient to allow only one staff member on 
duty; or 

(3) children or adolescents with developmental 
disabilities shall be served with one staff present 
for every one to three clients present and two 
staff for every four or more clients present. 
However, only one staff member need be 
present during sleeping hours if emergency 
back-up procedures are sufficient to allow only 
one staff member on duty. 



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PROPOSED RULES 



(d) In facilities which serve clients who have substance 
abuse disorders: 

(1) at least one staff member who is on duty shall 
be trained in alcohol and other drug withdrawal 
symptoms and symptoms of secondary 
complications to alcohol and other drug 
addiction; 

(2) when the clients are minors, staff shall be 
trained in youth development and therapeutic 
techniques in working with youth; and 

(3) the services of a certified alcoholism counselor, 
a certified drug abuse counselor or a certified 
substance abuse counselor shall be available on 
an as-needed basis for each client. 

(e) In facilities which serve individuals with behavior 
disorders in addition to developmental disabilities, the staff 
shall include at least one staff member who has received 
training in the area of behavior management through 
educational preparation in special education, psychology or 
a closely related field. 

(f) Each staff member who works directly with clients 
shall have a current medical statement on file with the 
facility. 

Statutory Authority G.S. 143B-147. 

.5603 OPERATIONS 

(a) Capacity: 

(1) A facility shall serve no more than three clients 
when: 

(A) the client lives with a family; and 

(B) the family provides the service. 

(2) A facility shall serve no more than six clients 
when the clients have mental illness or 
developmental disabilities. 

(3) Any facility licensed on April 1, 1994, and 
providing services to more than six clients at 
that time, may continue to provide services at no 
more than the facility's licensed capacity as of 
April 1, 1994. 

(b) Service Coordination. Coordination shall be 
maintained between the facility operator and the qualified 
professional who is responsible for treatment/habilitation or 
case management. 

(c) Participation of the Family or Legally Responsible 
Person: 

(1) Each client's family shall be provided the 
opportunity to maintain an ongoing relationship 
with their relative through such means as family 
visits to the facility and visits with the family 
outside the facility. 

(2) Reports to the parent of a minor resident, or the 
legally responsible person of an adult resident, 
shall be submitted at least annually. Reports 
may be in writing or take the form of a 
conference and shall focus on the client's 
progress toward meeting individual goals. 



(d) Program Activities. Each client shall have normalized 
activity o pportunities. 

Statutory Authority G.S. 143B-147. 

SECTION .5700 - ASSERTIVE COMMUNITY 
TREATMENT SERVICE 

.5701 SCOPE 

(a) Assertive community treatment (ACT) services shall 
be provided to individuals with serious mental illness, 
developmental disabilities, and/or substance abuse diagnoses 
who: 

(1) may have a pattern of frequent use of crisis 
services; repeated hospitalizations or 
incarceration; 

(2) may have failed to remain engaged in or to 
respond to conventional services; or 

(3) have been determined to have unusual needs. 
Such individuals require intervention by an Assertive 
Community Treatment Team (ACTT) in order to provide 
ongoing assertive treatment and services that are made 
available outside clinic settings in order to address their 
treatment needs effectively. 

(b) The Assertive Community Treatment Team provides 
a service by an interdisciplinary team that ensures service 
availability 24 hours a day and is prepared to carry out a 
full range of treatment functions wherever and whenever 
needed. The objectives of the service include: 

(1) preventing or reducing symptoms or behaviors 
that may result in the need for recurrent use of 
inpatient services or incarceration; and 

(2) increasing the skills and behaviors that enhance 
the individual's ability to remain in the 
community. 

Statutory Authority G.S. 143B-147. 

.5702 STAFF 

(a) Team Composition. The team should be 
interdisciplinary in order to carry out the varied activities 
needed to meet the complex needs of clients and shall 
include: 

(1) a qualified professional, appropriate to the 
diagnoses of the clients being served; 

(2) a Registered nurse; 

(3) an MD (at least .25 FTE per 50 clients); and 

(4) one or more appropriately trained 
paraprofessional staff. 

(b) Team Qualifications. Each member of the team shall 
be privileged and supervised based on their training, 
experience, and qualifications. 

(c) Client To Staff Ratio. The client/staff ratio should be 
based on the needs of the clients for whom the team is 
assigned responsibility. The usual client/staff ratio would 
be 10 to 1, and shall not exceed 12 to 1. 

(d) Organization And Operation Of The Team. The area 



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1135 



PROPOSED RULES 



program shall develop a program description and policies 
that address the following: 

(1) team composition consistent with staffing pattern 
based on anticipated client population and with 
the team composition, client/staff ratio, and staff 
qualifications described above; 

(2) training and supervision (including initial and 
ongoing cross-disability training if applicable); 

(3) communication between and among team 
members regarding clients' condition by 
assignment of daily staff responsibilities and 
regular, frequent staffing; 

(4) days and hours of operation; 

(5) after-hours plan including on-call coverage and 
linkages with appropriate after-hours emergency 
services; 

(6) client selection procedures and criteria consistent 
with this service definition; 

(7) description of service provision by ACTT and 
provisions for rapid access to consultation from 
other professionals as needed; and 

(8) policies regarding Quality Assurance and Quality 
Improvement including outcome measures. 

Statutory Authority G.S. 143B-147. 

.5703 OPERATIONS 

(a) Objectives. The treatment objectives are addressed by 
activities designed to: 

(1) promote symptom stability and appropriate use 
of medication; 

(2) restore personal, community living and social 
skills; 

(3) promote and maintain physical health; 

(4) establish access to entitlements, housing, and 
work and social opportunities; and 

(5) promote and maintain the highest possible level 
of functioning in the community. 

(b) Client Selection Criteria. Eligibility for ACT services 
shall be determined on the basis of a comprehensive 
assessment and shall meet criteria Subparagraphs (b)(1), (2), 
and (3) of this Rule: 

(1) A diagnosis of a serious mental illness, 
developmental disability or substance abuse; 

(2) Unusual needs that have required intensive 
service provision as evidenced by one or more 
of the following: 

(A) an established pattern of frequent use of crisis 
services, emergency rooms or incarceration 
related to the diagnosed disorder; 

(B) a history of multiple admissions to psychiatric 
or substance abuse inpatient treatment facilities 
or multiple emergency admissions to Mental 
Retardation Centers or respite facilities; or 

(C) a history of frequent contacts or referral to 
protective service or the criminal justice 
system (including juvenile detention and 



training schools) secondary to severely 
dysfunctional or obviously dangerous behavior; 
and 
(3) Have symptoms and behaviors as evidenced by 
one or more of the following: 

(A) a history of alcohol and drug abuse in 
combination with psychiatric symptoms or 
other serious medical or physical problems; 

(B) a pattern of isolation with extremely poor or 
non-existent social or family support; 

(C) a pattern of inability to provide for basic needs 
for food, clothing, and shelter; 

(D) a pattern of urgent and severe psychiatric and 
other concomitant medical difficulties; or 

(E) have failed to remain engaged in or to respond 
to conventional services (such as case 
management, medication, outpatient treatment, 
or day programs). 

(c) Criteria For Continued Eligibility Of ACT Services: 

(1) If a client's needs can be adequately and 
appropriately addressed with an average of less 
than seven face-to-face contacts per month 
during any three-consecutive-month period, the 
treatment plan shall be reviewed to determine 
whether other less intensive service alternatives 
should be provided instead of ACT services. 

(2) If it is determined that less intensive services 
could meet a client's needs over the long run, 
the reasons should be documented, a plan for 
continuity of care established, and the client 
should no longer be eligible for ACT services. 

Statutory Authority G.S. 143B-147. 

SECTION .5800 - SUPPORTED EMPLOYMENT 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.5801 SCOPE 

(a) A supported employment program is a service facility 
that provides periodic support services for adults with 
s ubstantial developmental disability, gov ore — physioal 
dioability, mental illness or substance abuse disorders to 
prepare the individual to work as independently as possible. 
The service is typically planned and implemented in 
cooperation with the Division of Vocational Rehabilitation 
Services. 

(b) Supported employment encompasses a variety of 
services,, which are implemented according to the 
employment needs of the individual as identified in the 
individual's service plan . These include vocational 
evaluation, job development, intensive training, job 
placement, and long-term support. Support services to 
clients' families and consultation with the clients' employers 
and other involved agencies may also be provided. 

(c) The Rules contained in this Section are applicable to 
two specific models of supported employment services: 



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PROPOSED RULES 



(1) Supported Employment. All of the training 
activities in this model occur in a separate 
location in the community, not in a specialized 
facility maintained by the operator. 

(2) Supported Employment - Long-Term Support. 
Clients served in this model have successfully 
completed the intensive initial training phase of 
supported employment sponsored by the 
Division for Vocational Rehabilitation Services, 
and now are receiving those long-term support 
services targeted towards maintenance in the job, 
which are the responsibility of DMH/DD/SAS: 

(A) At a minimum these services provide monthly 
monitoring at the work site of each individual 
in supported employment in order to assess 
employment stability, unless the individualized 
written rehabilitation plan specifies a different 
monitoring schedule or off-site monitoring, 
which is based on client request. 

(B) Examples of such long-term support services 
include "refresher" vocational training to 
ensure that existing job skills are not lost, 
training in new job performance expectations, 
and consultation to other employees, 
employers, and families, and residential 
program staff. 

(d) Whatev e r th e mod e l, it io th e support e d e mploym e nt 
that is s ubject to licensure, not tho location of tho business 
or organization whore the client io placed for work. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5802 STAFF 

(a) Each supported employment facility shall have a 
designated program director. 

(b) The Program Director shall be at least a high school 
graduate or equivalent with three years of experience in the 
appropriate disabilities programs. 

(c) Each facility shall provide for client evaluation. 

(d) Any person providing evaluation of job performance 
services shall have a high school diploma. 

(e) In group supported employment models, such as the 
mobile crew or enclave, each supported employment shall 
maintain an overall direct service ratio of at least one 
full-time equivalent direct service staff member for each 
eight or fewer clients. 

(f) In individual placement models, such as job coach, the 
amount of staff contact time per client shall be 
individualized based on client needs and goals as identified 
in the service plan Individual Program Plan . 

(g) Each facility shall have an Admissions Committee. 

Statutory Authority G.S. 122C-26; 143B-147. 



.5803 OPERATIONS 

(a) Population Served. 



Each supported employment 



program shall be designed primarily to serve individuals 
who are 16 years of age or older. 

(b) Business Practices: 

(1) For supported employment programs operated 
by an area program or its contract agency, if the 
supported employment program seeks or 
receives remuneration for goods or services 
provided to another individual, organization or 
business: 

(A) Supplies, materials or tools, if provided by the 
supported employment program , shall be 
identified as a separate amount in the bid 
price; 

(B) Wages paid to supported employment clients 
shall be on a piece rate, — e* hourly 
commensurate wage^ or minimum wage or 
higher : 

(C) Each client involved in productive work shall 
receive a written statement for each pay period 
which indicates gross pay, hours worked and 
deductions; and 

(D) Prices for goods produced in the supported 
employment shall be equal to or exceed the 
cost of production (including commensurate 
wages, overhead, tools and materials). 

(2) If the client is an employee of another 
individual, organization or business, the 
supported employment shall review client 
earnings information on at least an annual basis 
to ensure appropriateness of pay rates and 
amounts. 

(3) Clients shall be counseled concerning their rights 
and responsibilities in such matters as wages, 
hours, working conditions, social security, 
redress for injury and the consequences of their 
own tortious or unethical conduct. 

(c) Handbook. For supported employment programs 
which provide a handbook to each individual served, the 
handbook will contain Eaoh supported e mployee shall have 
a client handbook including, but not limited to, information 
about programs and services and activities : 

(1) The client handbook shall be written in a manner 
comprehensible to clients and reflective of adult 
status. 

(2) Each client shall be given a handbook, and the 
handbook shall be reviewed with the client. 

(d) Safety Educational Program. Supported employment 
services shall include the teaching of accident prevention 
and occupational safety specific to the job duties of each 
vocational placement. 

Statutory Authority G.S. 122C-26; 143B-147. 

.5804 CLIENT ELIGIBILITY AND ADMISSIONS 

(a) Eligibility. Clients served shall be individuals 16 
years of age or older who have a mental illness, 
developmental disability, or substance abuse disorder. 



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1137 



PROPOSED RULES 



elig i ble for aupportod employment regardless of financial 
rosouro e o with th e e xc e pt i on of a oli e nt whos e work 
eamingo oxoo e d 60% of the f e d e ral statutory minimum wag e 
over a consecutive 90 day period: 

f4-) with prior approval of the appropriate area 

program dir e otor or d e sign ee , oli e nts who ar e 
participating — in — a — support e d — employment 
program authorized by DMH/DD/SAS may have 
earnings in excess of 60% the prevailing wage. 

(3} e ligibility for- cli e nt s in non support e d 

employm e nt — s e ttings — whos e — e arnings — hav e 
exceeded over 60% the prevailing wage for over 
90 consecutive days may bo e xtended for up to 
one calendar y e ar if support e d e mployment 
options are not available l ocally and th e oli e nt is 
ineligible for other service s from the Divi s ion of 
Vocational — Rehab i litation; — or if the client's 
social, behavioral or vocational skill dofioits 
preclude participation in support e d e mploym e nt 
opt i ons and results in ineligibility for other 
vocational rehabilitation services. 

(3) th e e ligibility e xt e nsion shall ooour through th e 

e xisting oli e nt rooortifioation proc e ss carr ie d out 
by — the — designated — area — program — qualified 
developmental di s abilities professional, 
fA-) — R e qu e sts for th e e xtension s hall b e bas e d on a 
joint oas e r e vi e w involving a r e pr e s e ntativ e of 
the involved area program, the local VR unit 
and the area program. 
(B) — The r e qu e st shall id e ntify th e opooifio skill 
d e fioits precluding e ligibility for support e d 
employment or other vocational rehabilitation 
services and include plans for addressing those 
d e fioits. 
(€-) — Th e c e rtification e xt e nsion may b e r e appli e d 
for a maximum of two times only. — The s ame 
criteria and procedures shall bo followed in 
e aoh instanc e of r e applioat i on as are required 
for the initial e xt e nsion. 
(b) Admissions. Each supported employment facility 
shall have written admission policies and procedures. 

(1) A pre-admission staffing shall be held for each 
client considered for admission to the supported 
employment program. During the staffing, 
information shall be considered the Admissions 
Committ ee shall consider information available 
regarding the client's medical, psychological, 
social, and vocational histories. 

(2) Results of the pre-admission staffing shall be 
documented and forwarded to the referral or 
sponsoring agency. The client shall be notified 
of the results of the staffing. A representative 
of the Admi ss ions Committee shall notify' the 
oli e nt. 



Statutory Authority G.S. 122C-26; 143B-147. 



SECTION .5900 - CASE MANAGEMENT FOR 
INDIVIDUALS OF ALL DISABILrTY GROUPS 

.5901 SCOPE 

(a) Case management is a support service through which 
planning and coordination of services are carried out on 
behalf of the individual. It is designed to integrate multiple 
services needed or being received by the individual from the 
area program or from other agencies with those services 
being received through the area program. 

(b) Case management may include advocacy on behalf of 
the individual and monitoring the provision of services to 
the individual. Within this context, case management assists 
an individual in meeting his total needs by linking the 
individual to evaluation, treatment, educational, vocational, 
residential, health, financial, social, and any other needed 
services. 

(c) The extent to which case management services are 
provided will vary according to the needs of the client. The 
area program which may elect to provide case management 
through a variety of models such as: 

(1) primary therapist; 

(2) contract with a private agency; 

(3) disability-specific case managers; and 

(4) area operated case management units. 

Statutory Authority G.S. 143B-147. 

.5902 STAFF 

When infants, toddlers and preschoolers are served, the 
case manager shall have demonstrated knowledge and 
understanding about: 

(1) infants and toddlers with or at risk for 
developmental delays or atypical development; 

(2) Part H of the Individuals with Disabilities 
Education Act, the federal regulations related to it 
and relevant state statutes and standards; 

(3) effective and appropriate help-giving behaviors; 
and 

(4) the nature and scope of the services available 
under the state's early intervention program, 
resources available for payment for services and 
other related information. 

Statutory Authority G.S. 143B-147. 

.5903 OPERATIONS 

(a) Provision Of Ca^e Management. The case 
management process shall begin at the time the individual is 
accepted as a client and shall continue through the 
termination of the client/agency relationship. 

(b) Case Management Activities: 

(1) Case management activities shall include: 

(A) comprehensive assessment of the client's 
treatment/habilitation needs or problem areas; 

(B) the allocation of responsibilities for 
implementation and monitoring of the 



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PROPOSED RULES 



treatment/habilitation plan; 

(C) establishment of separate and joint 
responsibilities among staff and service 
agencies involved in helping the individual; 

(D) planning for need or problem resolution 
through the identification or development of an 
appropriate service network inclusive of all 
available resources; 

(E) assessment or determination of outcomes; and 

(F) when minors are served, informing families of 
the availability of advocacy services. 

(2) When infants and toddlers are served, the 
following additional activities are included: 

(A) developing transition plans in conjunction with 
the family related to entry into preschools 
which are the responsibility of the Department 
of Public Instruction or other involved public 
or private service providers; 

(B) facilitating and participating in development, 
review and evaluation of individualized family 
service plans; 

(C) coordinating with medical and health 
providers; and 

(D) assisting parents of eligible children in gaining 
access to the early intervention services and 
other services identified in the individualized 
family services plan. 

Statutory Authority G.S. 143B-147. 

SECTION .6000 - INPATIENT HOSPITAL 

TREATMENT FOR INDIVIDUALS WHO HAVE 

MENTAL ILLNESS OR SUBSTANCE ABUSE 

DISORDERS 

.6001 SCOPE 

(a) Inpatient hospital treatment involves the provision of 
24-hour treatment in an inpatient hospital setting. This 
facility is designed to provide treatment for individuals who 
have acute psychiatric problems or substance abuse 
disorders and is the most intensive and restrictive type of 
facility for individuals. Services may include: 

(1) psychological and medical diagnostic procedures; 

(2) observation; 

(3) treatment modalities, including medication, 
psychotherapy, group therapy, occupational 
therapy, industrial therapy, vocational 
rehabilitation, and recreation therapy and milieu 
treatment; 

(4) medical care and treatment as needed; 

(5) supportive services including education; and 

(6) room and board. 

(b) Psychiatric facilities shall be designed to serve 
individuals who require inpatient care for the evaluation, 
treatment, and amelioration of those acute psychiatric 
symptoms which impair or interfere with the client's ability 
to function in the community. Because inpatient care is the 



most restrictive service in the system of care for psychiatric 
patients, the goal of inpatient hospitalization is to stabilize 
symptoms so that the client can return to the community as 
soon as possible. An individual who, in addition to mental 
illness, has other disorders, such as mental retardation or 
substance abuse, shall be eligible for admission if the 
primary need of treatment is for mental illness. 

(c) Substance abuse facilities that provide detoxification 
services shall comply with the applicable rules for 
detoxification. 

Statutory Authority G.S. 143B-147. 

.6002 STAFF 

(a) Each facility shall clearly delineate in writing the 
numbers and qualification of its personnel. 

(b) Each facility shall have a designated medical director. 
In a substance abuse facility, the medical director must be 
a physician with at least two years experience in the 
treatment of substance abuse. 

(c) A physician shall be present in the facility or on call 
24 hours per day. 

(d) A physician shall supervise the treatment of each 
client. 

(e) Staff coverage in a psychiatric facility shall include at 
least one of each of the following: 

(1) psychiatrist; 

(2) licensed practicing psychologist; 

(3) psychiatric social worker; 

(4) psychiatric nurse; and 

(5) the services of a qualified mental health 
professional readily available by telephone or 
page. 

(f) Staff coverage in a substance abuse facility shall 
include at a minimum: 

(1) one full-time certified alcoholism, drug abuse or 
substance abuse counselor for every ten or fewer 
clients. If the facility falls below this prescribed 
ratio and cannot meet the prescribed ratio by 
employing a counselor who is certified, then it 
may employ an uncertified counselor as long as 
this individual meets the certification 
requirements within a maximum of 26 months 
from the date of employment; 

(2) at least one registered nurse on duty during each 
shift; 

(3) at least two direct care staff members on duty at 
all times; 

(4) one direct care staff member for each 20 or 
fewer clients on duty at all times in facilities 
serving adults; 

(5) a minimum of one staff member for each five or 
fewer minor clients on duty during the hours 
7:00 a.m. to 11:00 p.m.; and 

(6) at least one staff member on duty trained in 
substance abuse withdrawal and symptoms of 
secondary complications to substance abuse. 



10:13 



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1139 



PROPOSED RULES 



Statutory Authority G.S. 143B-147. 

.6003 OPERATIONS 

Program Plan Description. Each facility shall specify: 



(1) 
(2) 



(3) 



(4) 



a daily schedule of therapeutic activities; 

a description of services offered for the family and 

significant others and how these individuals are 

involved in the treatment process; and 

a description of how the client and family 

members are linked in their home communities 

with support groups and referral sources; and 

a description of how the facility will facilitate the 

continuity of care between inpatient and outpatient 



Statutory Authority G.S. 143B-147. 

SECTION .6100 - EMERGENCY SERVICES 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.6101 SCOPE 

Each area program shall make provisions for emergency 
services on a 24-hour non-scheduled basis to individuals of 
all ages and disability groups and their families, for 
immediate screening or assessment of presenting problems 
including emotional or behavioral problems or problems 
resulting from the abuse of alcohol or other drugs. 

Statutory Authority G.S. 143B-147. 

.6102 STAFF 

(a) At least one staff member shall be designated to 
coordinate and supervise activities of the emergency services 
network. 

(b) A qualified professional, as appropriate to the client's 
needs, shall be available for immediate consultation and for 
direct face-to-face contact with clients. 

(c) Prior to providing emergency services, each staff 
member or volunteer shall be trained in: 

(1) available resources', 

(2) interviewing techniques; 

(3) characteristics of substance abuse disorders, 
developmental disabilities, and mental illness; 

(4) crisis intervention; 

(5) making referrals; and 

(6) commitment procedures. 

(d) Volunteers shall be supervised by a qualified 
professional. 

Statutory Authority G.S. 122C-117; 122C-121; 122C-154; 
122C-155; 143B-147. 

.6103 OPERATIONS 

(a) Emergency services shall include at least the 
following: 

(1) 24-hour access to personnel trained in 



emergency services; 

(2) 24-hour telephone coverage at no cost to the 
client; 

(3) provision for emergency hospital services; and 

(4) provision of emergency back-up or consultation 
by a qualified mental health professional and a 
qualified alcoholism, drug abuse or substance 
abuse professional. 

(b) The emergency telephone number shall be clearly 
identified in the local telephone directory and publicized in 
the community through such means as brochures, 
appointment cards and public service announcements. 

(c) At least one designated staff member of the area 
program shall review emergency services records to assure 
that arrangements with treatment/habilitation staff are made 
for follow-up services. 

Statutory Authority G.S. 143B-147. 

SECTION .6200 - OUTPATIENT SERVICES 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.6201 SCOPE 

Each area program shall make provision for outpatient 
services which are provided to individuals of all ages and 
disabilities, families, or groups in a non-hospital setting 
through short visits for the purpose of treatment, 
habilitation, or rehabilitation. 

Statutory Authority G.S. 143B-147. 

.6202 OPERATIONS 

(a) Availability Of Services. The area program shall 
provide at least one clinic that holds office hours no less 
than 40 hours per week in order to make available outpatient 
services. Clinics which are located at other sites in the 
catchment area, and which operate less than 40 hours per 
week, shall inform clients of the availability of the full-time 
clinic when part-time clinics are not open. 

fb) Scheduling Appointments. The service shall establish 
and implement written procedures for scheduling 
appointments and providing services for individuals without 
appointments. 

Statutory Authority G.S. 143B-147. 

SECTION .6300 - COMPANION RESPITE 

SERVICES FOR INDIVIDUALS OF ALL 

DISABILITY GROUPS 

.6301 SCOPE 

Companion respite is a support service in which a trained 
respite provider is scheduled to care for the individual in a 
variety of settings, including the individual's own home or 
other location not subject to licensure. 



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PROPOSED RULES 



Statutory Authority G.S. 143B-147. 

.6302 STAFF 

Each provider shall have a current medical statement on 
file with the area program. 

Statutory Authority G.S. 143B-147. 

.6303 OPERATIONS 

(a) Responsibilities Of Governing Body. Each governing 
body shall: 

(1) develop and implement written criteria for the 
approval of providers and the sites where 
services may be provided. 

(2) attempt to match the client's needs with the 
provider's ability to provide respite services. 

(3) make available to the provider instructions 
regarding duties and responsibilities which shall 
include, but need not be limited to: 

(A) length of time for which service will be 
provided; 

(B) administration of medications; and 

(C) special dietary considerations. 

(4) furnish written information to the provider, if 
the client is involved in a day program, 
regarding responsibilities for assuring that the 
client attends the program and for structuring 
activities to enhance objectives established by the 
developmental or occupational program. 

(b) Agreement With Providers. Unless represented in a 
written job description for providers or in written policies 
and procedures, each governing body shall have a written 
agreement signed by each provider of respite care. A 
signed copy of the agreement shall be maintained by the 
governing body, and a signed copy shall be given to the 
provider. The provisions of the agreement shall specify the 
responsibilities of the governing body and the provider 
including: 

(1) confidentiality requirements; 

(2) procedures for securing emergency services; 

(3) program activities to be implemented; 

(4) responsibilities for supervising the respite client; 

(5) procedures related to administration of 
medications; 

(6) participation in respite training programs; 

(7) terms of compensation; 

(8) client rights; and 

(9) adherence to agency policies and procedures. 

Statutory Authority G.S. 143B-147. 

SECTION .6400 - PERSONAL ASSISTANCE 

FOR INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.6401 SCOPE 

(a) Personal assistance is a service which provides aid to 



a client who has mental illness, developmental disabilities or 
substance abuse disorders so that the client can engage in 
activities and interactions in which the client would 
otherwise be limited or from which the client would be 
excluded because of a disability or disabilities. The 
assistance includes: 

(1) assistance in personal or regular living activities 
in the client's home; 

(2) support in skill development; or 

(3) support and accompaniment of the client in 
regular community activities or in specialized 
treatment, habilitation or rehabilitation service 
programs. 

(b) If these Rules are in conflict with Medicaid rul es or 
Medicare rules regarding Personal Care, and Medicaid or 
Medicare is to be billed, then the Medicaid or Medicare 
rules shall prevail. 

Statutory Authority G.S. 143B-147. 

.6402 STAFF 

(a) Personal assistance shall be provided under the 
direction of a supervisor who is a qualified professional. 

(b) When a specific client's disability is different from 
that for which the supervisor is trained, the personal 
assistance employee shall have access to consultation from 
a qualified professional who is trained in a discipline related 
to the client's needs. 

(c) Individuals who are employed to provide personal 
assistance shall have: 

(1) at least a high-school diploma or its equivalent; 
and 

(2) special training regarding the needs of the 
specific client for whom assistance will be 
provided. 

(d) Individuals employed to provide personal assistance 
shall be specifically informed in each personal assistance 
arrangement regarding safety precautions and 24-hour 
emergency procedures. 

Statutory Authority G.S. 143B-147. 

.6403 OPERATIONS 

Housing Review. When personal assistance for a client 
includes providing service in the client's home, one of the 
purposes of the service is to assess the safety and sanitation 
of the home with the client. If the safety or sanitation is in 
question, it shall be Drought to the attention of the client and 
the professional responsible for the treatment/habilitation or 
case management of the client, so that the situation can be 
discussed as a part of the regular treatment/habilitation or 
case management planning process. 

Statutory Authority G.S. 143B-147. 

SECTION .6500 - EMPLOYEE ASSISTANCE 
PROGRAMS (EAP) 



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PROPOSED RULES 



.6501 SCOPE 

(a) An employee assistance program (EAP) is a worksite 
based program designed to assist in the identification and 
resolution of productivity problems in the workplace 
associated with employees impaired by personal concerns 
including, but not limited to, health, marital family, 
financial, alcohol, drug, legal, emotional, stress, or other 
personal concerns which may adversely affect employee job 
performance. 

(b) The service is offered in partnership with employers 
with whom the area program has a written agreement and 
provides employee education, supervisory training, referral, 
follow-up and program evaluation. 

Statutory Authority G.S. 143B-147. 

.6502 STAFF 

The area program shall designate an individual who has 
the responsibility for planning and implementing employee 
assistance programs with employers from both the public 
and private sector. 

Statutory Authority G.S. 143B-147. 

.6503 OPERATIONS 

(a) Population Served. Each EAP shall be designed to 
serve the organization (employer), its employees, and their 
family members by providing a comprehensive system from 
which employees can obtain assistance addressing persona) 
problems which may affect their work performance. 

(b) Written Agreement. The EAP shall implement, 
within the constraints placed on it by the employer firm, a 
written agreement with community employers which 
incorporates the following: 

(1) a written formal policy statement promulgated 
by the community employer which defines the 
intent of the program; 

(2) identification of a program administrator by the 
community employer who will serve as liaison 
between the employer and the EAP; 

(3) written procedures to be used by the community 
employer in implementing its EAP; 

(4) written procedures to be used by the EAP to 
carry out the screening and referral process; and 

(5) a statement assuring the community employer 
that the EAP shall comply with applicable 
confidentiality regulations. 

(c) Training. The EAP shall establish and make available 
a training program to be used in promoting the utilization of 
the program. 

(d) Awareness Program. The EAP shall implement an 
ongoing employee awareness program to inform employees 
of the availability of services. 

Statutory Authority G.S. 143B-147. 



SECTION .6600 - SPECIALIZED FOSTER 
CARE SERVICES 

.6601 SCOPE 

Specialized foster care is a support service provided 
cooperatively by the area program and the local department 
of social services or other licensed child care agency for 
individuals with developmental disability or mental illness 
who are in the custody of or whose parents have entered 
into a boarding home agreement with the local Department 
of Social Services or other licensed child care agency. 
Individuals up to 21 years of age may be served if they are 
involved in an ongoing educational program provided by the 
public school system or an adult day service provided by an 
adult developmental activity program or community college 
system. Support activities include funding, monitoring and 
evaluation, program coordination, parent training, 
development and implementation of individual treatment or 
goal plans, and consultation and technical assistance. These 
services shall be designed to serve those individuals in 
whose behalf area program funds are directed to foster 
parents in exchange for the provision of individualized 
prescriptive programming. 

Statutory Authority G.S. 13 ID, Article I A; 143B-147; 
143B-153. 

.6602 APPROVED FOSTER HOMES 

Each foster home shall be licensed by the Department of 
Human Resources and supervised by the county Department 
of Social Services or other licensed child care agency and 
shall meet the criteria for receipt of Title XX (P.L. 97-35) 
foster care special services funds as specified in 10 NCAC 
41F and J. The criteria are available for review at each 
county Department of Social Services office. 

Statutory Authority G.S. 13 ID- 10. 3; 143B-147. 

.6603 PLACEMENT CARE AGREEMENT 

(a) The area program shall negotiate a placement care 
agreement with the specialized foster care parents on behalf 
of each individual for whom the area program contracts for 
specialized foster care services. 

(b) The agreement shall include provisions related to the 
following: 

(1) commitment by the foster parents to participate 
in needed treatment programs related to the 
foster placement; 

(2) commitment from the foster parents to 
participate with area program staff in the 
development and implementation of 
individualized treatment or goal plans; 

(3) commitment by the foster parents to receive 
consultation and technical assistance from the 
area program; and 

(4) commitment by the foster parents that any 
decision to terminate services shall be negotiated 



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PROPOSED RULES 



among the foster parents, the area program and 
county Department of Social Services consistent 
with the termination clause of the agreement. 

Statutory Authority G.S. 122C-51; 143B-147. 

SECTION .6700 - FORENSIC SCREENING 

AND EVALUATION SERVICES FOR 

INDIVIDUALS OF ALL DISABILITY 

GROUPS 

.6701 SCOPE 

Forensic services shall be designed to serve offenders and 
alleged offenders referred by the criminal justice system by 
court order. 

Statutory Authority G.S. 143B-147. 

.6702 OPERATIONS 

(a) Forensic Screening And Evaluation. Forensic 
screening and evaluation to assess capacity to proceed to 
trial shall be provided by evaluators trained and registered 
in accordance with the provisions of 10 NCAC 18F .0115 
through .0122; TRAINING AND REGISTRATION OF 
FORENSIC EVALUATORS (DMH/DD/SAS publication 
APSR 100-3). 

(b) Consultation To Law Enforcement Officials. 
Consultation to law enforcement officials, including 
consultation prior to the commitment of an offender or 
alleged offender to any state psychiatric hospital, shall be 
provided. 

(c) Justice Treatment Services: 

(1) Each area program shall develop and implement 
a written justice treatment services plan which 
shall provide for the coordination of area 
program court related activities with the criminal 
justice system. 

(2) An individual shall be designated who has 
responsibility for developing and implementing 
the justice treatment services plan. 

Statutory Authority G.S. 15A-1002; 143B-147. 

SECTION .6800 - PREVENTION SERVICES 



SECTION .6900 - CONSULTATION AND 
EDUCATION SERVICES 

.6901 SCOPE 

(a) Consultation is a prevention or intervention service 
provided to other mental health, human service, and 
community planning and development organizations or 
individual practitioners of other organizations designed to 
both impart knowledge and assist recipients in developing 
insights and skills necessary to carry out their service 
responsibilities. The ultimate goal is to increase the quality 
of care available in the service delivery system. 

(b) Education is a prevention or intervention service 
designed to impart knowledge to various target groups, 
including clients, families, schools, businesses, churches, 
industries, and civic and other community groups in the 
interest of increasing understanding of the nature of mental 
health, mental retardation, and substance abuse disorders, 
and the availability of various community resources. It also 
serves to improve the social functioning of recipients by 
increasing awareness of human behavior and providing 
alternative cognitive or behavioral responses to life 
situations. 

Statutory Authority G.S. 143B-147. 

.6902 STAFF 

The consultation and education service shall have a 
designated director. 

Statutory Authority G.S. 143B-147. 

.6903 OPERATIONS 

(a) Written Program Plan. Each area program shall 
develop annually a written plan for consultation and 
education services specifying populations that will be 
targeted and objectives to be obtained. 

(b) Coordination of Services. The consultation and 
education service shall be coordinated with other 
components of the area program to insure continuity of care. 

Statutory Authority G.S. 143B-147. 



.6801 SCOPE 

Prevention services shall include information, consultation, 
education and instruction for the general population. 

Statutory Authority G.S. 143B-147. 

.6802 STAFF 

The area program shall designate a director for prevention 
services. 

Statutory Authority G.S. 143B-147. 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the Commission for Mental Health, 
Developmental Disabilities and Substance Abuse Services 
and the Director of the Division of Mental Health, 
Developmental Disabilities and Substance Abuse Services 
intends to amend rules cited as 10 NCAC 15A .0115 - 
.0126; repeal 15 A .0205 - .0228 and adopt 15 A .0127. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
November 13, 1995 at Brownestone Hotel, 1707 



10:13 



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October 2, 1995 



1143 



PROPOSED RULES 



Hillsborough Street, Raleigh, NC 27605, (Phone: 919-828- 
0811). 

Reason for Proposed Action: To incorporate language 
based on approval of Medicaid Waiver; and to reduce Rules 
by consolidating Adult and Minor Admission Rules. 

Comment Procedures: Any interested person may present 
comments by oral presentation or submitting a written 
statement. Persons wishing to make oral presentations 
should contact Charlotte Tucker, Division of Mental Health, 
Developmental Disabilities and Substance Abuse Services, 
325 N. Salisbury Street, Raleigh, NC 27603, 919-733-4774. 
Written comments will be accepted through November 12, 
1995, and must state the Rules to which the comments are 
addressed. These comments should be sent to Charlotte 
Tucker at the above address. Please provide 35 copies of 
the comments for distribution at the hearing. Tune limits for 
oral remarks may be imposed at the hearing. Fiscal 
information regarding these Rules is available from the 
Division upon request. 

Fiscal Note: These Rules affect the expenditure or 
distribution of State funds subject to the Executive Budget 
Act, Article 1 of Chapter 143. 

CHAPTER 15 - MENTAL HEALTH: 
HOSPITALS 

SUBCHAPTER 15A - GENERAL RULES 
FOR HOSPrTALS 

SECTION .0100 - VOLUNTARY ADMISSIONS: 

INVOLUNTARY COMMITMENTS AND 

DISCHARGES OF ADULTS FROM REGIONAL 

PSYCHIATRIC HOSPITALS 



&h 



121 



the area authority and is clinically privileged by 

the area authority. 

"Chronic - , — fix e d — organio — conditions" — m e ans 



changes in the control nervous system which aro 
not susceptible to corrective intervention. 
"Authorization" means the process whereby area 



program staff approve of the hospitalization of a 

client currently residing in their catchment area. 

and agree that the hospitalization shall be included 

in their bed day utilization count. 
££) "Dangerous to hims e lf or oth e rs" has th e m e aning 

specified in G.S. 122C 3(11). 
(4) "Geriatric clients" moans persons 65 years old or 

ov e r who pr e sent th e ms e lv e s or are referr e d for 

hospital admission. 

(3) "Continuity of care" means the seamless 
integration of both inpatient and outpatient 
services into a unified plan of care for clients 
served by the area authority. 

(4) "County of residence" has the meaning specified 
in G.S. 122C-3. 

(5) "County where currently residing" means the 
county where the client was living immediately 
prior to hospitalization. 

(6) "Division" means the Division of Mental Health. 
Developmental Disabilities, and Substance Abuse 
Services. 

(7) "Eligible Psychologist" means a licensed 
practicing psychologist who has at least two years' 
clinical experience. 

(8) "Facility" has the meaning specified m G.S. 
122C-3. 

(9) (£)"HospitaT means one of the regional 
psychiatric hospitals of the Division. 
(6)"Mental illness" has the meaning specified in 
G.S. 122C-3(21). 



(10) 



.0115 SCOPE 

The rules in this Section apply to admissions, 
commitments and discharges of all adult clients to and from 
the regional psychiatric hospitals of the Division. The 
criteria and procedures shall be followed by staff of the 
hospitals and by area program staff making referrals to the 
hospitals and serving clients following discharge from the 
hospitals . Rule .0127 of this Section contains provisions 
that relate only to minors from non-single portal area 
programs . 

Statutory Authority G.S. 122C-211; 122C-212; 143B-147. 

.0116 EXPLANATION OF TERMS 

For the purposes of the rules in this Section the following 
terms shall have the meanings indicated: 

(1) "Area program staff" means a mental — health 
professional who is an employee of the area 
authority or who contracts with the area authority 
or is employed by an agency which contracts with 



Statutory Authority G.S. 122C-3; 143B-147. 

.0117 AUTHORIZATION OF HOSPITALIZATION 
BY AREA PROGRAM 

Wh e n on individual from a singl e portal ar e a pr e o e nto 
hims e lf or is pres e nted direotly at th e hospital for voluntary 
admission or involuntary commitment, such admissions or 
commitments shall bo handled in accordance with G.S. 
122C 211( e ) and 122C 261(0 unl e ss 122C 262 appli e s. 

(a) Designated area program staff shall authorize all 
hospitalizations for individuals residing in an area program's 
catchment area. 

(b) This authorization shall be done when the individual 
is evaluated by the area program for referral to the hospital 
for admission and shall be reviewed as required. 

(c) When such authorization is for an individual residing 
in a facility within the catchment area but whose county of 
residence is outside the catchment area, the authorizing area 
program shall notify the area program serving the 
individual's county of residence within 24 hours. 



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PROPOSED RULES 



(d) Authorization for continuing hospitalization is the 
responsibility of the area program serving the individual's 
county of residence. 



Statutory Authority G. S. 
122C-262; 143B-147. 



122C-2U(e); 122C-2610; 



.0118 AUTHORIZATION OF HOSPITALIZATION 
WHEN INDIVIDUAL ARRIVES DKECTLY 
AT HOSPITAL 

Tho individual or hio l e gally responsibl e p e roon ao d e fin e d 
in G.S. 122C 3(20) shall aign a written request for voluntary 
admission before tho client is evaluated for admission. 

(a) When an individual from an area program arrives at 
the hospital for admission without — area program 
authorization, the hospital shall contact designated personnel 
of the area program, of the individual's county of residence, 
before admission is a pproved. 

(b) If the area program does not respond within one hour, 
the hospital is deemed to have been authorized to admit, and 
shall contact the area program on the next working day to 
obtain authorization for continuation of the hospitalization. 

Statutory Authority G.S. 122C-3; 122C-211; 143B-147. 

.0119 WRITTEN EVALUATION BY AREA 
PROGRAM 

(a) Area program staff in a single portal area shall 
evaluate each individual prior to authorization and referral 
to the hospital unless G.S. 122C-262 applies. The written 
evaluation shall oomply with Paragraph (o) of thi s Rul e . 

(b) — Area program staff not in a single portal area shall 
use boat efforts to evaluate each individual prior to referral 
to th e hospital unlooo G.S. 122C 262 applies. — The writt e n 
e valuation s hall oomply with Paragraph (o) of thi s Rul e . 

(b) (e)The evaluation shall be in writing and shall include 
the following: 

(1) identifying information, e.g., client's full name 
(including maiden name), address, birthciate, 
race; name, address, ago, moo, etc.; 

(2) referral source; 

(3) presenting problem; 

(4) if available, medications and pertinent medical 
and psychiatric information, including the 
DSM III R codo DSM IV diagnoses, detailed 
history of treatment, side effects, allergies, last 
injection date, recent laboratory work and 
treatment; 

(5) name, address and phone number of legally 
responsible person and next of kin, if applicable; 

(6) legal charges pending, if applicable; and 

(7) name and telephone number of the area program 
referring staff members member to contact for 
further information including staff to call after 
regular working hours . 

(c) (d)The written evaluation shall accompany the 
individual to the hospital. 



Statutory Authority G.S. 122C-53(a); 122C-55(a); 143B-147. 

.0120 ADDITIONAL INFORMATION FOR 
TREATMENT 

(a) Tho following client information, if available, shall bo 
s e nt by th e r e ferring ag e nt to th e appropriat e hospital 
admissions offioo within thr ee working days of th e cli e nt' s 
admission or commitment to th e hospital. — This information 
shall include but need not bo limited to tho following! The 
following client information, if available, should be sent 
with the evaluation which accompanies the individual to the 
hospital. If not immediately available, it shall be sent, 
together with any information required by Rule .0119 of this 
Section but not provided in the evaluation, by the 
authorizing area program to the a ppropriate hospital 
admissions office within one working day of the client's 
admission to die hospital. This information, which shall be 
used by hospital staff in developing the client's treatment 
plan, shall include but need not be limited to the following: 

(1) name of client's mental health center therapist 
and psychiatrist and case manager, if a pplicable; 

(2) county of residence feH — nanw — ef- — oliont, 
including maid e n nam e if applicable ; 

(3) name, address and telephone number of the 
relevant individuals in the client's family and 
social su pport network; l e gal — oounty — ef 
residence; 

(4) previous admissions to any state facility, i.e.. 
psychiatric, substance abuse, developmental 
disabilities; birthdat e ; 

(5) current psychiatric and other medications, 
including compliance with medications and 
aftercare instructions; prev i ous admissions to 
any stat e faoility; 

(6) alternatives attempted or considered prior to 
referral to the hospital; name. — address and 
tolophono numbor of tho legally responsible 
p e rson or n e xt of kin; 

(7) goal of hospitalization specifying the treatment 
objectives that the hospital should address; aay- 
medical problems, including pertinent laboratory 
data and treatment; 

(8) specific suggestions for programming and other 
treatment planning recommendations; and 
current psychiatric and other medications; 

(9) release plans, which include information relevant 
to placement and other special considerations of 
the client upon discharge from the hospital. 
history of compliance with medication s and after 
oar e instructions; 

(40) alt e rnativ e s att e mpt e d or oonsider e d prior to 

referral to hospital; 
(44-) goal of hospitalization specifying tho treatment 

probl e ms that th e hospital should addr e ss; 
(42) sp e oifio suggestions for programming and other 

troatmont planning recommendations; and 
(4-3) release plans, which include tho informati eB 



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1145 



PROPOSED RULES 



relevant — te — placement — aad — other — special 
considerations of th e client upon discharge from 
the hoopitnl. 
(b) The information required in Paragraph (a) of this Rule 

shall bo used by hospital staff in developing the client's 

tr e atm e nt plan. 



evaluated and referred the individual to a hospital with a 
reoomm e ndation for involuntary oommitm e nt or voluntary 
admission, if th e opinion of the examiner at th e hospital io 
that the individual does not meet inpatient criteria, the 
examiner shall make reasonable efforts to oontaot area 
program staff to discuss th e individual's oondition prior to 



(e) — Whon there ar e differences of opinion between area r e l e asing — fcke — individual. Provid e d, — howovor, — that 



program — s taff — and — hospital — staff — regarding — th« — afea 
program' s treatment recommendations, the hospital s taff 
shall notify^ th e area program staff. — Together the hospital 
and ar e a — program staff shall — att e mpt — to rooolve thooo 
difference s according to the procedures specified in Rule 
.0129 of this Section. 

Statutory Authority G.S. 122C-261 through 122C-277; 
143B-147. 

.0121 COMMUNICATION TO AREA PROGRAM 
REGARDING ADMISSION/DENIAL 

Any individual brought to a hospital pursuant to Port 7 of 
Article 5 of G.S. 122C shall bo evaluated for commitmont r 

(a) In all instances where area program staff have 
evaluated, authorized, and referred the individual to a 
hospital with a recommendation for admission, the area 
program staff shall call the hospital admission office to 
inform it of the authorization and referral, and advise h as 
to the name and phone number of an area program contact 
person. 

(b) If the opinion of the examiner at the hospital is that 
the individual does not meet inpatient criteria, the examiner 
shall contact designated area program staff to discuss the 
individual's condition prior to releasing the individual. 
Unreasonable delay shall not occur as a result of the 
foregoing and in no event shall the individual be detained by 
the hospital for more than 24 hours. 

(c) If the opinion of the examiner is that the individual 
does meet inpatient criteria, the hospital shall contact 
designated area program staff within 24 hours to notify them 
of the admission. 

(d) When the hospital staff does not accept a client for 
admission, the hospital staff, client, area program staff, and 
if appropriate, family or legally responsible person, shall 
discuss where in the community the client shall be returned 
and shall discuss with the client options for receiving 



Statutory Authority G.S. 122C-132; 122C-221; 122C-261 
through 122C-277; 143B-147. 

.0122 GENERAL CRITERIA FOR ADMISSION 

(a) In those instances wh e r e th e individual has not boon 
roforred by an area program, the hospital shall notify the 
referring agent and the appropriate area program regarding 
th e hospital's d e cision to admit or deny admission to th e 
individual. — Such notifications shall b e made within th e 
limitations specified in G.S. 122C 53(a) and 122C 55(a). 

fbj In all — instances — whore — area — program — staff has 



unreasonable delay shall not occur as a result of the 
foregoing and in no event shall the individual be detained by 
th e hospital for mor e than 24 hours. 

fe} — Whon th e hospital do e s not aoo e pt a oliont for 
admission, the hospital staff shall refer the client back to the 
area program . 

(a) Admission staff shall evaluate the individual to 
determine that: 

(1) there is the presence of mental illness; 

(2) the individual is in need of treatment or further 
evaluation at the facility; and 

(3) admitting the individual to the hospital is an 
appropriate treatment modality. 

(b) The individual shall currently reside in the region 
served by the hospital unless one or more of these 
exceptions occurs: 

(1) A transient resident of another state who 
requires hospitalization shall be admitted to the 
hospital serving the region in which the client is 
found. 

(2) A defendant who is ordered to a state mental 
health facility for determination of capacity to 
proceed to trial (G.S. 15A-1002) may be 
admitted to the Forensic Unit at Dorothea Dix 
Hospital. 

(3) An individual whose treatment needs have 
necessitated a cross regional admission from the 
hospital in his region may be admitted as 
arranged by_ the Division's Chief of Mental 
Health Services or his designee. 

(4) In case of emergency, a client may be admitted 
to a hospital outside of the region of residence- 
Subsequent transfer may include transfer to the 
appropriate regional hospital and such transfer 
shall be in accordance with G.S. 122C-206. 

(5) A client from any catchment area of the state 
may be considered for admission to the Clinical 
Research Unit of Dorothea Dix Hospital. In the 
case of a client of another regional hospital, 
application shall be made in accordance with 
G.S. 122C-206. 

(c) An individual shall not be admitted to a hospital if 
the: 

(1) primary need is custodial care pending rest home 
or nursing home placement; 

(2) treatment needs can be met locally; 

(3) admission is sought primarily because of a lack 
of living space or financial support; or 

(4) primary medical or surgical problem can be 
more appropriately treated in a general hospital. 



1146 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



Statutory Authority G.S. 122C-3; 122C-132; 
122C-206; 122C-261 through 122C-264. 



122C-221; 



.0123 COORDINATION AND CONTINUITY 
OF CLIENT CARE 

(*) — Admiooion otnff shall e valuate the individual to 
dotormin e that: 

{i} thoro is the prooonco or probable presence of 

mental illness; 

the individual is in nood of tr e atment or furth e r 



m- 



e valuation at th e facility; and 



(3) admitting the individual to the hospital io an 

appropriate treatment modality, 
(b) Th e individual shall b e a r e sident of th e r e gion c a rv e d 
by th e hospital unless on e or more of these exceptions 
occurs: 

(+) A — transient — resident — of another — state — whe 

requires hospitalization shall b e admitt e d -te-tfae 

hospital s e rving the r e gion in whioh th e oli e nt is 

found. 

A defendant who is committed to a state mental 



&- 



health fac i lity for determination of oapaoity to 
prooood to trial (G.S. 15A 1002) may b e 
admitted to the regional hospital that servos the 
defendant's region of residence, or the defendant 
may — be — admitt e d — te — the — For e nsic — Ua+t — at 



problem can bo more appropriately treated in a 

g e n e ral hospital. 
(a") Each hospital in conjunction with each area program 
shall develop a process to assure ongoing communication 
between the hospital and area program regarding clients in 
treatment at the hospital. This process shall include 
provisions for case collaboration, particularly around 
treatment issues and issues related to discharge planning and 
community care. For minor clients and for adult clients 
adjudicated incompetent, such collaboration shall include the 
legally responsible person. The process shall include but is 
not limited to the following: 

(1) specifically designated staff at both the hospital 
and area program to facilitate communication; 

(2) routinely scheduled case management contact at 
hospital site: 

(3) hospital staff visitation to area programs: 

(4) telephone conferences: and 

(5) a discharge plan developed in collaboration 
among hospital and area program staff and 
client. 

(b) The process for ongoing communication shall be 
incorporated into each area program's written agreement 
with the state hospital as required by. 10 NCAC 18J .0603 
Written Agreements with State Facilities. 



Statutory Authority G.S, 90-21.1; 
122C-221; 122C-223; 143B-147. 



122C-3; 122C-132; 



.0124 



Doroth e a Dix Hospital. 
(3) An individual — whoso treatment — seeds — have 

necessitated a cross regional admission from the 

hospital — m — bis — r e gion. Cross — r e gional 

admissions shall bo arrang e d by th e D e puty 

Director for mental health programs or his 

designee. 
(4) In ease of omerg e noy, a oli e nt may b e admitt e d without th e oons e nt of th e incompetent adult. — If the 



NOTIFICATION OF CLIENT HEARING 
AND/OR DISCHARGE 



The guardian of an incompetent adult may apply for the 
admi s sion of the incompetent adult to a hospital with or 



to a hospital outsid e of th e r e gion of r e sid e nc e . 
Subsequent transfer may include transfer to the 
appropriate regional hospital and such transfer 
s hall b e in aooordanoe with G.S. 122C 206. 



incomp e t e nt adult is admitt e d, a court h e aring and judicial 
determination will bo scheduled according to the procedures 
sot forth in G.S. — 122C 232. — In the initial evaluation, 
admiss i on staff shall d e t e rmin e that: 



(5) A oli e nt from any oatohm e nt ar e a of th e stat e fl-) th e r e i s th e pr e s e nc e or probabl e pr e s e no e of 



may bo considered for admission to the Clinical 



mental illness; and 



Research Unit of Dorothea Dix Hospital. In the (2-) loss restrictive treatment measures are likely to bo 



oase of a olient of another regional ho s pital, 
application shall be made in aooordanoe with 
G.S. 122C 206. 
(o) An individual shall not bo admitted to a hospital if: 

(4) th e p e rson has ohronio fix e d organio oonditions 

for whioh no psyohiatrio tr e atment e xists and 
who is primarily in nood of custodial caro 
ponding rest homo or nursing homo placement. 
How e v e r, such an individual may b e admitt e d 
for a p e riod — net — te — e*eeei — 60 days — for 
observation or diagnostic evaluation; 
the person' s treatment needs can bo mot locally; 
-the — p e rson's admissio n — is sought primarily 
b e oauso of a laok of living spao e or finanoial 
support; and 
-the — person' s — primary — m e dical — er — surgical 



insuffici e nt. fa — making — this judgm e nt, — the 

admission staff shall d e t e rmin e tha tf 



&- 






w- 



outpationt treatment or loss intensive residential 
treatment measure s would not alleviate — the 
m e ntal illn e ss; 

(b) th e r e is no tr e atm e nt program loca l ly outsid e of 

tae — hospital — that — moot s — the — needs — of the 
individual; and 

(e) th e individual's primary n e ed is not fost e r car e 

or corr e ctional plac e ment. 
(a) The hospital shall give the authorizing area program 
72 hours notice of planned discharge of all clients except 
those clients for whom unplanned discharge precludes 72 
hours notice. In those cases notice shall be given within 24 
hours. If there is a disagreement between the hospital and 
area program regarding the planned discharge of a voluntary 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1147 



PROPOSED RULES 



client, the disagreement shall be resolved by the procedures 
specified in Rule .0126 of this Section. 

(b) The hospital shall provide 24 hours notice to the 
authorizing area program prior to a court hearing, of the 
recommendations to be made at the hearing. At the time of 
this notification, a collaborative discharge contingency plan 
will be developed in case the judge does not order 
commitment. 

(c) The Post-Institutional Plan, together with the items 
specified in Rule .0125 of this Section, shall be sent to the 
authorizing area program within 24 hours of discharge. 

(d) A discharge summary shall be sent to the authorizing 
area program within 15 days of discharge. 

Statutory Authority G.S. 122C-112; 143B-147. 



Statutory Authority G.S. 
143B-147. 



122C-3; 122C-112; 122C-117; 



.0125 



PLACEMENT OF CLIENTS OUTSIDE 
THEIR COUNTY OF RESIDENCE 



Prior to admitting a g e riatric individual to th e hoopital, th e 
area program shall: 



fl-) carefully prepare tho geriatric individual and hio 

family for th e admission, booauGO of the inoroased 
risk involved in moving e ld e rly individuals; 

(3) seek an agreement from roforring rest homes, 

nursing homes and boarding homos to readmit tho 
g e riatric individual wh e n h e improv e s; and 

f3-) make appropriat e arrang e m e nts for r e turning th e 

geriatric individual to his caretaker, — family or 
friend. 
(al If a discharge plan proposes that a client live in a 
facility outside his county of residence, hospital staff shall 
notify the authorizing area program so that the area program 
can begin making such a living arrangement. Hospital staff 
shall provide the authorizing area program with information 
which shall include: 

(1) the client's characteristics; 

(2) information regarding the characteristics of the 
facility being considered; and 

(3) information regarding the facility's ability to 
serve the client being considered to live there. 

(b) The authorizing area program shall contact the area 
program in the county of the facility to share client 
information, and collaboratively develop a plan for 
appropriate services provision, authorization, and payment. 

(c) When a client discharged from a hospital moves to a 
facility outside his county of residence, the hospital shall 
send, at the time of discharge, the following records to the 
authorizing area program serving the client's county of 
residence: 

(1) hospital's psychiatric evaluation; 

(2) social history; and 

(3) post-institutional plan. 

In addition, the hospital discharge summary shall be sent to 
the authorizing area program within 15 days of discharge. 
It is the responsibility of this area program to share the 
information with the area program serving the client in the 
county of the facility . 



.0126 RESOLUTION OF DIFFERENCES 
OF OPINION 

(a) Eaoh hoopital in conjunction with e aoh ar e a program 
shall develop a process to assure ongoing communication 
between the hospital and area program regarding olioDta in 

treatm e nt at th e hoopital. Th e prooooo ohall inoludo 

provifliona for oas e consultation, particularly around ioouoo 
related to discharge plannia g; — The process shall include but 
is not limited to the following; 

ft) specifically designat e d staff at both th e hospital 

and ar e a program to facilitat e communication; 

f3) routinely scheduled case management contact at 

hospital site; 

(3) hospital staff visitation to ar e a programs; 

f4} t e l e phon e oonf e r e no e s; and 

{#) to tho extent feasible, a discharge plan shall bo 

dovoloped for involuntary clients who may bo 

r e l e as e d — wh e n — th e judg e do e s not order a 

r e comm e nd e d commitm e nt. 

f&) — Tho process for ongoing communication shall be 

incorporated into each area program's written agreement 

with th e stat e hoopital as r e quir e d by 10 NCAC I 8 J .0603 

(Written Agre e ments with State Faciliti e s). 

(a) Differences of opinion between area program staff and 
hospital staff regarding admission, treatment or discharge 
issues shall be resolved through negotiation involving 
appropriate hospital and area program staff, together with 
clients, legally responsible persons, and with client consent, 
appropriate family members up to and including the area 
program's director and the hospital's director, as 
appropriate. 

(b) If resolution of issues regarding authorization, 
admission or discharge cannot be reached by the Directors 
of the two organizations, the dispute will be resolved 
following the procedures contained in K) NCAC 18J .0800 
Establishment of An Area Authority Appeals Panel, and 
Rules contained in 10 NCAC 14B .0300 Contested Cases, 
and continuing to the final level of a ppeal, if necessary, with 
procedures in G.S. 150B Appeal for Contested Cases. 

(c) During the resolution of differences of opinion 
between area program and hospital staff, the client will be 
provided with the more conservative and secure treatment 
option. 

Statutory Authority G.S. 143B-147. 

.0127 REFERRALS OF MINORS FROM A 
NON-SINGLE PORTAL AREA 

(a) In a non-single portal area, in addition to area 
program staff, a licensed physician or eligible psychologist 
may refer a minor directly to a hospital. This person will 
be known as the "referring agent." 

(d) As part of the referring process, the referring agent 



1148 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



shall provide the evaluation and other information specified 
in Rules .0119 and .0120 of this Section. 

(c) To assure a ppropriate planning for treatment, 
discharge, and aftercare, when a licensed physician or 
eligible psychologist makes a referral pursuant to this Rule. 
he or she shall be asked by the hospital to agree in writing 
to; 

(1) continued involvement with the child and family 
during hospital treatment; 

(2) participation in identification and coordination of 
community services that are essential to 
discharge planning; and 

(3) provision of aftercare, as needed. 

(d) If the referring agent does not sign the agreement 
described in Paragraph (c) of this Rule, the hospital staff 
shall consult with the minor's legally responsible person to 
determine a practitioner to participate in discharge and 
aftercare planning. The area program staff shall be 
considered as an option. The selected practitioner shall be 
considered to be the referring agent. 

(e) For purposes of Rules .0121 through .0126 of this 
Section, the referring agent shall perform the consultation, 
communication and notice functions described for area 
program staff. The area program staff also shall participate 
and shall receive the notices prescribed in those Rules. 

Statutory Authority G.S. 143B-147. 

SECTION .0200 - VOLUNTARY ADMISSIONS, 

INVOLUNTARY COMMITMENTS AND 

DISCHARGES OF MINORS TO AND FROM 

REGIONAL PSYCHIATRIC HOSPITALS 

.0205 SCOPE 

For voluntary admission, involuntary oommitm e nt and 
discharge of minors to regional psychiatric hospitals, the 
rule s in this Section shall bo followed by hospital staff, area 
program staff, — and — other appropriate — professionals m 



s ervices for minors within the ho s pital. 

(3) "Eligible poyohologist" means a licens e d practicing 

p s yohologist who has at least two y e ar s ' olinioal 
experience. 

(4) " Emergency — involuntary — commitm ent 2 ' — moan s 

admission to a hospital wh e n a minor has mot the 
crit e ria specified in G.S. 122C 262. 

(5) "Hospital" moans one of the regional psychiatric 

hospitals — of the — Division. Wright — School, 

Whi tak e r — Sohool — and — the — Butnor — Adoleooont 
Treatm e nt — C e nt e r — are — e xolud e d — from — tWe 
definition. 



m- 



m- 



fW)- 



(&- 



"Involuntary commitment" moans the process of 
admission to a hospital as s e t forth in G.S. 122C, 
Artiol e 5, Parts 1, 6 and 7. 

f?) "Legally responsible person" moans the same as 

defined in G.S. 122C 3. 

(8} "R e f e rring — ag e nt" m e ans — the — pract i tioner 

authorized to r e fer minor olients to a hospital. — In 
a single portal area this moans the ch i ld and youth 
coordinator or his designee. In a non single portal 
ar e a, this m e ans th e ohild and youth coordinator 
or his designee, a lic e ns e d physician or an e ligibl e 
psychologist. 



"Regional — s creening — committee" — moons — the 
regional commit too that r e vi e w s th e r e cords of 
minors for th e purpos e of making plaoomont 

recommendations — te — Whi taker — School. The 

committee also reviews records of hard to place 

minor s upon r e qu e st by ar e a programs for the 

purpos e of consultation and facilitation. 

"Single portal area" moans the same as defined in 

G.S. 122C3. 

"Voluntary admission" — m e ans admission to a 



hospital for e valuation and tr e atm e nt with th e 
consent of the minor' s legally responsible per s on, 
er- — self admission — m — accordance — with — G.S. 

122C - 223. 



sp e cifi e d in G.S. 122C 



iir t>~> 



Area program ohild and youth (4-2) "Willie M. coordinator" m e an s that individual 



coordinators and hospital child and youth unit directors shall 
develop thoir policies and procedures regarding inpatient 
r e f e rrals and discharg e planning in accordanc e with th e s e 
rules. Those rulos do not apply to Wright Sohool. Whi tak e r 
School or the Burner Adole s cent Treatment Center (BATC). 



charged by tho area program to develop and 
oversee mental health services for Willie M. class 
members . 

Statutory Authority G.S. 122C-3; 122C-221; 143B-147. 



Statutory Authority G.S. 122C-221 through 122C-223; 
122C-224. 7; 122C-261; 122C-262; 143B-147. 

.0206 DEFINITIONS 

For tho purpose of th e rul e s in this S e otion, the following 
t e rms shall hav e th e m e anings indioatod: 

(4-) "Child — and — youth — coordinator" — moans — that 

individual charged by tho area program to develop 
and administer m e ntal h e alth oorviooo for minors. 

(2) "Child and youth unit direotor" — m e ans — that 

individual — charged — by — a — regional — psychiatric 
hospital to develop and administer mental health 



.0207 WRITTEN CONSENT FOR RELEASE 
OF INFORMATION 

Except a s otherwise provided in G.S. 122C 53 through 
G.S. 122C 56, tho written consent of tho minor's legally 
r e sponsibl e p e rson shall b e obtained prior to th e r e l e as e of 
confid e ntial information. 



Statutory Authority G.S. 122C-53 through 122C-56; 
143B-147. 

.0208 WRITTEN APPLICATION FOR 
VOLUNTARY ADMISSIONS 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1149 



PROPOSED RULES 



(a) The minor's legally responsible person may apply in 
writing for th e admission of th e minor to a ho s pital with or 
without tho consent of th e minor. 

(b) In an emergency situation, a minor may be voluntarily 
admitted upon his own written application, in accordance - 
with the provisions of G.S. 122C 223. 



Statutory Authority G.S. 
122C-223; 143B-147. 



122C-3; 122C-221 through 



.0209 MANDATORY SCREENING 

Except as provided in G.S. 122C 223 and 122C 262. all 
minors shall be screened in accordance with Rule .021 4 of 
this S e ction prior to admission to a hospital. 

Statutory Authority G.S. 122C-221 through 122C-223; 
122C-262; 143B-147. 

.0210 TELEPHONE NOTIFICATION OF 

HOSPITAL BY REFERRING AGENT 

(*) — During working hour s , tho referring agent shall 
telephon e th e child and youth unit dir e ctor or his dooignoo 
r e garding an immin e nt voluntary admission or involuntary 
commitment. 

(b) After working hours, tho referring agent shall 

tel e phon e th e hospital admission staff regarding an imminent 

voluntary admission &f involuntary oommitm eatr- 

Immediately upon receiving such telephone notification, the 
hospital admissions staff shall notify the designee of the 
ohild and youth unit dir e ctor. 

Statutory Authority G.S. 122C-221; 122C-222; 122C-261; 
143B-147. 

.0211 REFERRALS FROM A SINGLE PORTAL 
AREA 

(a) In a single portal area, tho child and youth coordinator 
or his design ee may r e f e r a minor dir e ctly to a hospital. 

(b) In a singl e portal ar e a, all professionals and ag e noi e s 



psychologists shall refer all prospective minor voluntary 
admissions and involuntary oommitm e nto to th e poroono 
list e d in Paragraph (a) of this Rule. 

(c) Except as provided in G.S. 122C 223 and 122C 262, 
referrals not made in accordance with this Rule shall bo 
dir e ct e d by hospital staff to th e appropriat e p e rsons or 
agonoi e o as sp e cifi e d in this Rule. 

Statutory Authority G.S. 122C-222; 122C-223; 122C-261; 

122C-262; 143B-147. 

.0213 USE OF STANDARDIZED REFERRAL 
FORM 

All r e f e rrals shall b e in writing on th e standardized 
r e f e rral form, which is available through th e ar e a m e ntal 
health program, in duplicate. — One copy of tho form shall -be 
filed at tho area program and one copy shall bo sent to tho 
hospital. 

Statutory Authority G.S. 122C-221; 122C-222; 122C-261; 
143B-147. 



.0214 SCREENING BY REFERRING AGENT 

(a) As port of tho referral process for hospital admission, 
except admissions under G.S. 122C 223 and 122C 262, tho 
appropriate r e f e rring ag e nt, as sp e cifi e d in Rul e s .0211(a) 
and .0212(a) of this Section, shall d e t e rmin e that: 
i4j there is the presence of mental illnoGs; and 



$2) loss restrictive treatment measures are likoly to 

b e in e ff e ctiv e . — In making this judgment, tho 

r e f e rring agent shall determine that: 

(A) — outpatient treatment, day hospitalization or 

treatment. — ef — less — intensive — residential 

tr e atm e nt m e asur e s would not alleviate tho 

mental illness; 

f&) — there is no local inpatient unit available that 

moots tho needs of tho minor; and 
f€) — th e minor's primary need is not foster oar e , 
group ohild care or corr e ctional plao e m e nt. 
shall refer all prospective minor voluntary admissions and fb) — Additionally, the referring agent shall provide tho 

involuntary commitments to the child and youth coordinator following written information, to the extent possible: 
or his d e sign ee . 



(o) Exc e pt as provid e d in G.S. 122C 223 and 122C 262, 
referrals not made in accordance with this Rulo shall bo 
directed by hospital staff to tho child and youth coordinator 
or his d e sign ee as sp e cifi e d in this Rulo. 

Statutory Authority G.S. 122C-221; 122C-223; 122C-261; 
122C-262; 143B-147. 

.0212 REFERRALS FROM A NON-SINGLE 
PORTAL AREA 

(«3 — In a non single portal area, — licen s ed physicians, 
e ligibl e psychologists or th e ohild and youth coordinator or 
his design ee may r e f e r a minor dir e ctly to a hoopital. 

fb) — In a non single portal area, all professionals and 
agencie s — other — than — licensed — physicians — sad — eligible 



{+) nam e of tho professional at th e ar e a program or 

other setting who has provid e d diagnostic or 

treatment services to tho client; 
(2-) full name of client, including maiden name, if 

applicabl e ; 

l e gal county of r e cid e no e ; 






birthdate; 



previous admissions to any state facility; 
name, addr e ss and t e l e phon e numb e r of th e 



l e gally r e sponsibl e p e rson or, if th e r e is no 
legally responsible person, tho minor's next of 

f7-) any — m e dical — problems ^ — inoluding — pertin e nt 

laboratory data and tr e atm e nt; 

(&) current psychiatric and othor modications; 

(9) history of compliance with modications and 



1150 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



(44- 



aftorcaro inotructionfl; 
(40) alternatives att e mpted or considered prior to 

roforral to hospital; 
(44) goal of hospitalization specifying fee treatment 

problems that the hospital should address; 
<4-24 spooifio ougg e otiono for programming and other 

treatment planning r e comm e ndations: and 
(43) discharge — plan s — te — include — the — relevant 

information on placement — and other special 

consid e rations of the oli e nt upon dioohargo from 

the hospital, 
(c) The written information shall accompany the minor to 
the hospital. 

Statutory Authority G.S. 122C-221 through 122C-223; 
122C-261; 122C-262; 143B-147. 

.0215 WRITTEN AGREEMENTS FOR A 
NON-SINGLE PORTAL AREA 

(a) In a non single portal area, when a licensed physician Statutory Authority G.S. 122C-222; 122C-261; 143B-147. 
or eligible psychologist who is not affiliated with the area 
program makes a ref e rral of a minor for hospital admission, .0216 
ho shall b e ask e d by th e ho s pital to sign a written agreement 
which promises the following; 



and youth coordinator, the hospital staff may 

s ugg e st oth e r praotition e ro. If the legally 

r e sponsible person solooto a practition e r other 
than the child and youth coordinator, the hospital 
s taff s hall proceed as described in Subparagraph 
(o)(l) of this Rul e . 

If th e l e gally — responsibl e p e rson r e fus e s to 
permit the involvement of any practitioner in 
discharge and aftercare planning or refuses to 
sign — the — writt e n — cons e nt — desoribed — is 
Subparagraph (o)(l) or (o)(2) of this Rul e , and 
in the opinion of the responsible professional, 
such refusal would bo detrimental to the minor, 
th e r e sponsibl e prof e ssional shall so state in 
writing, and th e reafter, th e hospital staff shall so 
advise the child and youth coordinator in the 
area program in the catchment area whore the 
minor r e sid e s. 



INFORMATION FOR TREATMENT 
PLANNING 



(e) — The referring agent shall send the following client 
(4) continued involvement with the child and family information, if available, and in accordance with G.S. 



during hospital tr e atm e nt; 

(3) participation in id e ntification and coordination of 

community — services — that — are essential — te 
discharge planning; and 

(3) provision of aftoroar e , as n ee d e d, following 

discharg e , 
(b) The purpose of thi s written agreement is to assure that 
appropriate planning for treatment, discharge and aftercare 
will ooour. 

(e) — If th e r e f e rring agont does not sign the agreement 
described in Paragraph (a) of this Rule, the hospital staff 
shall consult with the minor's legally responsible person to 
d e termin e his ohoio e of a praotition e r to participat e in 
discharg e and aftoroare planning. — The designated person 
shall thereafter bo called the referring agent. 

(4) If the — legally — respon s ible — person — names — a 

praotition e r, th e hospital staff shall obtain th e 
legally r e sponsible person's writt e n oons e nt to 
contact — the practitioner — chosen — in order to 
reque s t — the — practitioner's — participation — m 
discharg e and aftoroar e planning. 



122C 53 through — 122C 56, — to th e appropriat e hospital 
admissions offio e within thr ee working days following th e 
minor's voluntary admission or involuntary commitment to 
the hospital. — This information s hall include but not bo 
limit e d to th e following: 

(4) family — history, ourr e nt composition, — ourr e nt 

functioning, and motivation for treatment; 

(2) child or youth's developmental history, highest 

level of function i ng in th e past, and ourr e nt l e v e l 
of functioning; 

(3) relationship with family, poors and others; 

(4) personality — characterist i cs — and — degree — ef 

e motional or organio impairm e n t 

(5) how, — ftft4r — und e r — what — oiroumstanoos, — the 

impairment is most manifest; 

(e) intellectual level, past and current; 

(?) educational academic — functioning, and school 

history; 

(£) strengths, individual and family; 

(9) long range planning; and 

(40) goal s for hospitalization. 



(3) If th e l e gally r e sponsibl e p e rson do e s not know (b) Th e information r e quir e d in Paragraph (a) of this Rul e 



of a practitioner, the hospital staff shall suggest 
the child and youth coordinator in the area 
program in th e oatohm e nt area whore th e minor 
r e sides. — Th e hospital staff shall obtain th e 
legally responsible person's written consent to 
contact the child and youth coordinator and shall 
r e qu e st — the — ch il d — and — youth — coordinator's 
participation in discharg e and aft e roar e planning. 

(3) If the legally responsible person doos not know 

of a practitioner and declines to choose the child 



shall bo used by hospital staff in developing tho treatment 

Statutory Authority G.S. 122C-55(a); 143B-147. 

.0217 NOTIFICATION BY HOSPITAL OF 
ADMISSION/DENIAL 

(a) — Th e ohild and youth unit dir e otor shall notify th e 
referring agont within 2 4 hours regarding tho following! 
(4) the — decision — te — admit — the — minor — and — the 



10:13 



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October 2, 1995 



1151 



PROPOSED RULES 



admission dato; or 

f2) the decision to deny admission of th e minor, 

inoluding th e r e asons for the denial and any 
recommendations for treatment alternatives. 



appropriate area program participation does not occur after 
suoh notification, th e child and youth unit dir e ctor shall 
notify' th e ar e a dir e ctor. 



(b) In instances when tho minor has not boon r e ferred by Statutory Authority G.S. 122C-221; 143B-147. 
an area program, the hospital shall notify tho roforring ag e nt 
and the appropriate area program within on e working day 
regarding tho hospital's decision to admit or deny admission 
to tho minor. 



.0221 EMERGENCY INVOLUNTARY 
COMMITMENT 



.0218 



SHARING OF INFORMATION WITH 
REFERRING AGENT 



(a) Any — minor — who moots — criteria — fef — inpatient 
commitment pursuant to G.S. 122C 262 shall bo admitt e d to 
Statutory Authority G.S. 122C-53(a); 122C-55(a); 143B-147. th e ohild and youth unit wh e th e r or not th e minor has bo ea 

screened by a r e ferring agent. 

fe} In those instances — whore — tho minor has boon 

oommitt e d without screening by a r e f e rring ag e nt, th e 
hospital shall notify', within on e working day, th e area 
program in the catchment area whoro tho minor reside s of 
the emergency commitmont. 

Statutory Authority G.S. 122C-262; 143B-147. 

.0222 EMERGENCY ADMISSIONS/ 
COMMITMENTS AND BED 
AVAILABILITY 



(a) During th e formulation of the minor's tr e atm e nt plan, 
and in accordance with G.S. 122C 53 through 122C 56, tho 
child and youth unit director shall share the following 
information with tho r e f e rring ag e nt: 

(4^ goals for hospitalization; 

f2) anticipated longth of s tay; 

(3^ expectat i ons regarding family involvement; 

f-9 e xp e ctations r e garding ar e a program and oth e r 

community agonoy involv e m e nt; 

dates — ef — hospital — diagno s tic — er — treatment 



(a-) — When a minor has been admitted to a hospital in 
accordance with Rulo .0208(d) of this Section and no bod is 
availabl e in th e ohild and youth unit, th e hospital and th e 

Tho information in Subparagraphs (5) and (6) in this Rul e ar e a program in th e oatohm e nt ar e a wh e r e th e minor resides 

shall bo provided as early as possible to allow for referring 

agent participation. 



m- 

conference; and 
(e} dat e s of discharge planning conf e r e nc e . 



shall make every effort to locate an alternate placement. — If 
no other placement is available, the child shall bo admitted 



fb} — Th e ohild and youth unit director shall notify' th e to the hospital and plao e d in th e mo s t appropriat e availabl e 
r e ferring ag e nt oonoorning any significant ohang e o in th e 
minor's treatment plan. 



Statutory Authority G.S. 122C-53(a); 122C-55(a); 143B-147. 

.0219 ONGOING INFORMATION PROVIDED 
BY REFERRING AGENT 

During th e minor's hospitalization, th e ref e rring agent 
shall keep the ohild and youth unit dir e otor inform e d 
regarding tho following: 

(4-) availability of appropriate community resources; 



m- 



r e l e vant information p e rtaining to th e family's 

ohang e in oiroumstano es ; 

ability — of other — ag e ncies — te — participate — with .0223 



fb) — When a minor has been committed to a hospital in 
accordance with Rulo .0221 of this Section and no bod i s 
availabl e in th e ohild and youth unit, th e hospital and e ither 
the referring ag e nt, if th e minor has boon scr ee n e d, or th e 
area program in tho catchment area whore tho minor 
rosidos, if tho minor has not boon screened, shall make 
e v e ry e ffort to looat e an alt e rnativ e plac e m e nt. — If no other 
plaooment is available tho ohild shall b e admitt e d to th e 
hospital and placed in tho most appropriate available bod. 

Statutory Authority G.S. 122C-223; 122C-262; 143B-147. 



treatment; and 

r e l e vant e ducational mat e rial to aid hospital in 

e ducational planning as provid e d by th e sohool 

system. 



m- 



Statutory Authority G.S. 122C-53(a); 122C-55(a); 143B-147. 

.0220 FAILURE OF AREA PROGRAM TO 
PARTICIPATE IN PLANNING 



AREA PROGRAM PROCEDURES/ 
UNSCREENED EMERGENCY 
COMMITMENTS 

(a-) — In thos e instanc e s wh e r e tho minor has not boon 
screened — ey — a — roforring — agent — prior — te — emergency 
commitment — te — a — hospital. — tho area — program — m — the 
catchm e nt ar e a wh e re the minor resides shall appoint a staff 
p e rson for th e minor within two working days of reoeipt of 
notification of the commitmont. 

(b) Tho 3taff person shall promptly communicate with tho 



If th e r e f e rring agent is th e area program, and th e ar e a ohild and youth unit dir e otor or his d e sign ee to arrang e a 



program fail s to participat e in planning for the treatment, 
discharge and aftercare of tho minor, tho child and youth 
unit director shall notify tho child and youth coordinator. — M 



compr e h e nsiv e tr e atm e nt planning oonf e r e no e . — Th e staff 
person shall also communicate with the hospital child and 
youth unit director or his designee regarding discharge 



1152 



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October 2, 1995 



10:13 



PROPOSED RULES 



planning. 

Statutory Authority G.S. 122C-262; 143B-147. 

.0224 DISCHARGE PLANNING 

Dioohargo planning ohall occur for e aoh minor admitt e d or 
oommittod to th e hospital. 

Statutory Authority G.S. 122C-221; 122C-222; 122C-224.7; 
143B-147. 

.0225 PARTICIPANTS IN DISCHARGE 
PLANNING 

(a) Th e hospital ohall oonoult with th e r e f e rring ag e nt to 
d e t e rmine who will participat e in discharg e planning. 

(b) In those instanooo whoro there ia no rof erring agont, 
the s taff person appointed pur s uant to Rule .0223 of this 
S e ction ohall bo consulted to d e t e rmin e who will participat e . 

(e) — If th e hospital dooo not requ e st th e r e f e rring ag e nt's 
participation in discharge planning, the referring agont s hall 
not i fy tho child and youth unit director. 

Statutory Authority G.S. 122C-221; 122C-222; 122C-224.7; 
143B-147. 



53 through 122C 56, to tho referring agont and other 
r e l e vant parti es within fiv e working days. 

Statutory Authority G.S. 122C-221; 122C-222; 122C-224.7; 
143B-147. 



.0228 DISCHARGE PLAN IMPLEMENTATION 
FOR AREA PROGRAM REFERRALS 

(ft) — Whon a minor referred by an aroa program i s 
discharg e d, th e minor's staff person s hall b e r e sponsible for 
sup e rvising th e impl e mentation of th e minor's discharg e 



(b) — Tho following staff shall bo available to assist tho 
minor's staff p e rson in impl e m e nting th e minor's dioohargo 
piano: 

(4) aroa program child and youth coordinator 1 , 

(3) child and youth staff; 

(3) other appropriat e area program staff; 

(4) area program Willie M. ooordinator; and 

(5) regional screening oommit teer- 



Statutory Authority G.S. 122C-221; 122C-224.7; 143B-147. 



*»»»»*****«******* 



.0226 DISCHARGE OF MINOR 

(*) — Th e ohild and youth unit dir e ctor ohall disoharg e a 
minor from treatment whon it is determined that tho minor 
is no longer mentally ill or no longer in nood of troatmont 
at th e hospital. 

(b) Th e minor's l e gally r e oponoible p e rson may fil e a 
written request for discharge from tho hospital as s pecified 
in G.S. 122C 22 4 .7. 

(e) — Tho ohild and youth unit dir e ctor shall notify tho 
r e ferring agont and tho legally r e sponsibl e person, and tho 
ohild and youth ooordinator in tho area program as soon as 
a decision to re l ease tho minor from tho hospital i s made. 

Statutory Authority G.S. 122C-224.7; 143B-147. 

.0227 DISCHARGE PLANNING AND 
WRITTEN PLAN 

(a) An intordiooiplinary m ee ting shall b e h e ld to formulate 
tho discharge plan for tho minor. — This mooting shall 
include, but nood not bo limited to, tho parent or legally 
r e sponsible person and prof e ssionals involved in s e rvices for 
th e mino r-; — Th e planning ohall inoludo, but ne e d not bo 
limited to, tho following; 

(4) a review of tho minor's presenting problem s 

social oiroumotano e o and relevant eas e history; 

(3) a dioouooion of follow up troatmont alt e rnatives 

baood on realistic community alternatives; and 

(3) tbe assignmen t e£ — responsibilities fer 

implementation of tho disoharge plan. 

(b) A written disoharg e plan shall b e dovolop e d based on 
tho results of tho interdisciplinary mooting. — Copies of tho 
plan shall bo distributed, and in aooordonoo with G.S. 122C 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the DHR/Division of Medical Assistance 
intends to amend rules cited as 10 NCAC 26H .0212 and 
.0213. 

Temporary: These Rules were filed as temporary 
amendments effective September 15, 1995 for a period of 
180 days or until the permanent rule becomes effective, 
whichever is sooner. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 p.m. on 
November 1, 1995 at NC Division of Medical Assistance, 
1985 Umstead Drive, Kirby Bldg., Room 132, Raleigh, NC. 

Reason for Proposed Action: These additional payments 
are necessary to provide payments that are adequate to 
participating Hospitals for Medicaid costs and to assist large 
public hospitals that provide a disproportionate share of 
such services. 

Comment Procedures: Written comments concerning this 
rule-making action must be submitted by November 1, 1995 
to: Division of Medical Assistance, 1985 Umstead Drive, 
Raleigh, NC 27603, ATTN: Portia Rochelle, APA 
Coordinator. Oral comments may be presented at the 
hearing. In addition, a fiscal note is available upon written 
request from the same address. 

Fiscal Note: These Rules affect the expenditure or 
distribution of State funds subject to the Executive Budget 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1153 



PROPOSED RULES 



Act, Article 1 of Chapter 143. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26H - REIMBURSEMENT 
PLANS 

SECTION .0200 - HOSPITAL INPATIENT 
REIMBURSEMENT PLAN 

.0212 EXCEPTIONS TO DRG REIMBURSEMENT 

(a) Covered psychiatric and rehabilitation inpatient 
services provided in either specialty hospitals, Medicare 
recognized distinct part units (DPU), or other beds in 
general acute care hospitals shall be reimbursed on a per 
diem methodology. 

(1) For the purposes of this Section, psychiatric 
inpatient services are defined as admissions 
where the primary reason for admission would 
result in the assignment of DRGs in the range 
424 through 432 and 436 through 437. 

For the purposes of this Section, rehabilitation 
inpatient services are defined as admissions 
where the primary reason for admissions would 
result in the assignment of DRG 462. All 
services provided by specialty rehabilitation 
hospitals are presumed to come under this 
definition. 

(2) When a patient has a medically appropriate 
transfer from a medical or surgical bed to a 
psychiatric or rehabilitative distinct part unit 
within the same hospital, or to a specialty 
hospital the admission to the distinct part unit or 
the specialty hospital shall be recognized as a 
separate service which is eligible for 
reimbursement under the per diem methodology. 
Transfers occurring within general hospitals 
from acute care services to non-DPU psychiatric 
or rehabilitation services are not eligible for 
reimbursement under this Section. The entire 
hospital stay in these instances shall be 
reimbursed under the DRG methodology. 

(3) The per diem rate for psychiatric services is 
established at the lesser of the actual cost 
trended to the rate year or the calculated median 
rate of all hospitals providing psychiatric 
services as derived from the most recent as filed 
cost reports. 

(4) Hospitals that do not routinely provide 
psychiatric services shall have their rate set at 
the median rate. 

(5) The per diem rate for rehabilitation services is 
established at the lesser of the actual cost 
trended to the rate year or the calculated median 
rate of all hospitals providing rehabilitation 
services as derived from the most recent filed 
cost reports. 



(6) Rates established under this Paragraph are 
adjusted for inflation consistent with the 
methodology under Rule .0211 Subparagraph 
(d)(5) of this Section. 

(b) To assure compliance with the separate upper payment 
limit for State-operated facilities, the hospitals operated by 
the Department of Human Resources and all the primary 
affiliated teaching hospitals for the University of North 
Carolina Medical Schools will be reimbursed their 
reasonable costs in accordance with the provisions of the 
Medicare Provider Reimbursement Manual. This Manual 
referred to as, (HCFA Publication #15-1) is hereby 
incorporated by reference including any subsequent 
amendments and editions. A copy is available for inspection 
at the Division of Medical Assistance, 1985 Umstead Drive, 
Raleigh, NC. Copies may be obtained from the U.S. 
Department of Commerce, National Technical Information 
Service, Subscription Department, 5285 Port Royal Road, 
Springfield, VA 22161 at a cost of one hundred forty seven 
dollars ($147.00). Purchasing instructions may be received 
by calling (703) 487-4650. Updates are available for an 
additional fee. The Division shall utilize the DRG 
methodology to make interim payments to providers covered 
under this Paragraph, setting the hospital unit value at a 
level which can best be expected to approximate reasonable 
cost. Interim payments made under the DRG methodology 
to these providers shall be retrospectively settled to 
reasonable cost. 

(c) When the Norplant contraceptive is inserted during an 
inpatient stay the current Medicaid fee schedule amount for 
the Norplant kit will be paid in addition to DRG 
reimbursement. The additional payment for Norplant will 
not be paid when a cost outlier or day outlier increment is 
applied to the base DRG payment- 

(d) Hospitals operating Medicare approved graduate 
medical education programs shall receive a per diem rate 
adjustment which reflects the reasonable direct and indirect 
costs of operating these programs. The per diem rate 
adjustment will be calculated in accordance with the 
provisions of Rule .0211 Paragraph (f) of this Section. 

(e) For the 12-month period ending September 30, 1995. 
hospitals licensed by the State of North Carolina and 
reimbursed under the DRG methodology for more than 50 
percent of Medicaid inpatient discharges shall be entitled to 
an additional payment in an amount determined by the 
Director of the Division of Medical Assistance, subject to 
the following provisions: 

(1) The maximum payments authorized by this 
Paragraph for public hospitals that qualify under 
the criteria in Part A of this Subparagraph shall 
be calculated by ascertaining the reasonable cost 
of inpatient and outpatient hospital Medicaid 
services, plus the reasonable direct and indirect 
costs attributable to Medicaid services of 
operating Medicare approved graduate medical 
education programs, less Medicaid payments 
received or to be received for these services. 



1154 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



With respect to qualifying hospitals that are not 
public hospitals qualified under Part A of this 
Subparagraph, the maximum payment authorized 
by this Paragraph shall be calculated by 
ascertaining 64.71 percent of the unreimbursed 
reasonable cost calculated by use of the 
methodology described in the preceding 
sentence, not to exceed in the aggregate for all 
such hospitals fifty one million seven hundred 
thousand dollars ($51.700,000). For purposes 
of this Subparagraph: 

(A) A qualified public hospital is a hospital that 
meets the other requirements of this Paragraph 
and: 

(i) was owned or operated by a State (or by 
an instrumentality or a unit of government 
within a State) throughout the 12-month 
period ending September 30, 1995; 

(ii) indicated its legal entity status as a 
government unit on the Hospital License 
Renewal Application filed with the 
Division of Facility Services. North 
Carolina Department of Human Resources 
for the 1995 calendar year: and 

(iii) submits to the Division of Medical 
Assistance on or before September 20. 
1995 by use of a form prescribed by the 
Division. a certificate of public 
expenditures to su pport the non-federal 
share of the payment it will receive 
pursuant to this Paragraph. 

(B) Reasonable costs shall be ascertained in 
accordance with the provisions of the Medicare 
Provider Reimbursement Manual. This 
Manual, referred to as HCFA Publication #15- 
lj. is hereby incorporated by reference 
including subsequent amendments and editions. 
A copy of this Manual is available for 
inspection at the Division of Medical 
Assistance. 1985 U instead Drive. Raleigh. 
NC. Copies may be obtained from the US 
Department of Commerce, National Technical 
Information Service, Subscription Department. 
5285 Port Royal Road, Springfield. VA 
22161. at a cost of one hundred forty-seven 
dollars ($147.00). Purchasing instructions 
may be received by calling (703) 487-4650. 
Updates are available for an additional fee. 

(C) The phrase "Medicaid payments received or to 
be received for these services" shall exclude 
all Medicaid disproportionate share hospital 
payments received or to be received except for 
payments received or to be received pursuant 
to K) NCAC 26H .0213(d). 

(2) Should 64.71 percent of the unreimbursed 

reasonable cost of Medicaid services for 
qualifying hospitals that are not qualified public 



hospitals be determined by the Director of the 
Division of Medical Assistance to exceed the 
sum of fifty one million seven hundred thousand 
dollars ($51,700.000), the maximum payment of 
fifty one million seven hundred thousand dollars 
($51.700,000) to such hospitals authorized by 
this Paragraph shall be prorated among such 
hospitals based on unreimbursed reasonable 
costs. 

(3) Payments authorized by this Paragraph shall be 
made on or before September 30, 1995 solely on 
the basis of an estimate of costs incurred and 
payments received for Medicaid services during 
the 12 months ending September 30, 1995. The 
Director of the Division of Medical Assistance 
shall determine the amount of the estimated 
payments to be made by analysis of costs 
incurred and payments received for Medicaid 
services as reported on cost reports for fiscal 
years ending in 1994 filed before September 15, 
1995 and su pplemented by such additional 
financial information as is available to the 
Director when the estimated payments are 
calculated if and to the extent that the Director 
concludes that such additional financial 
information is reliable and relevant. 

(4) Solely to ensure that estimated payments 
pursuant to Subparagraph (3) of this Paragraph 
do not exceed the hospital specific and state 
aggregate upper limits to such payments 
established by applicable federal law and 
regulation, such payments shall be cost settled as 
determined by an independent CPA furnished by 
the provider, based on cost reports covering the 
12 months ending September 30. 1995. and 
hospital recipients of such payments shall 
promptly refund such payments if and to the 
extent that such payments exceed the applicable 
upper limit. No additional payments shall be 
made in connection with the cost settlement. 

(5) The payments authorized by this Paragraph shall 
be effective in accordance with G.S. 108A- 
55[cL 

Authority G.S. 108A-25(b); 108A-54; 108A-55; 42 C.F.R. 
447, Subpart C. 

.0213 DISPROPORTIONATE SHARE HOSPITALS 

(a) Hospitals that serve a disproportionate share of 
low-income patients and have a Medicaid inpatient 
utilization rate of not less than one percent are eligible to 
receive rate adjustments. The cost report data and financial 
information that is required in order to qualify as a 
disproportionate share hospital effective April 1, 1991 is 
based on the fiscal year ending in 1989 for each hospital, as 
submitted to the Division of Medical Assistance on or 
before April 1, 1991. The cost report data and financial 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1155 



PROPOSED RULES 



information to qualify as a disproportionate share hospital 
effective July 1, 1991 is based on the fiscal year ending in 
1990 for each hospital, as submitted to the Division of 
Medical Assistance on or before September 1, 1991. In 
subsequent years, qualifications effective July 1 of any 
particular year are based on each hospital's fiscal year 
ending in the preceding calendar year. The patient days, 
costs, revenues, or charges related to nursing facility 
services, swing-bed services, home health services, 
outpatient services, or any other service that is not a hospital 
inpatient service cannot be used to qualify for 
disproportionate share status. A hospital is deemed to be a 
disproportionate share hospital if: 

(1) The hospital has at least two obstetricians with 
staff privileges at the hospital who have agreed 
to provide obstetric services to individuals 
eligible for Medicaid. In the case of a hospital 
located in a rural area, the term obstetrician 
includes any physician with staff privileges at 
the hospital to perform non-emergency obstetric 
services as of December 21, 1987 or to a 
hospital that predominantly serves individuals 
under 18 years of age; and 

(2) The hospital's Medicaid inpatient utilization rate, 
defined as the percentage resulting from dividing 
Medicaid patient days by total patient days, is at 
least one standard deviation above the mean 
Medicaid inpatient utilization rate for all 
hospitals that receive Medicaid payments in the 
state; or 

(3) The hospital's low income utilization rate 
exceeds 25 percent. The low-income utilization 
rate is the sum of: 

(A) The ratio of the sum of Medicaid inpatient 
revenues plus cash subsidies received from the 
State and local governments, divided by the 
hospital's total patient revenues; and 

(B) The ratio of the hospital's gross inpatient 
charges for charity care less the cash subsidies 
for inpatient care received from the State and 
local governments divided by the hospital's 
total inpatient charges; or 

(4) The sum of the hospital's Medicaid revenues, 
bad debts allowance net of recoveries, and 
charity care exceeds 20 percent of gross patient 
revenues; or 

(5) The hospital, in ranking of hospitals in the State, 
from most to least in number of Medicaid 
patient days provided, is among the top group 
that accounts for 50% of the total Medicaid 
patient days provided by all hospitals in the 
State; or 

(6) Psychiatric Hospitals operated by the North 
Carolina Department of Human Resources, 
Division of Mental Health, Developmental 
Disabilities, Substance Abuse Services 
(DMH/DD/SAS) and UNC Hospitals operated 



by the University of North Carolina. 
(b) The rate adjustment for a disproportionate share 
hospital is 2.5 percent plus one fourth of one percent for 
each percentage point that a hospital's Medicaid inpatient 
utilization rate exceeds one standard deviation of the mean 
Medicaid inpatient utilization rate in the State. The rate 
adjustment is applied to a hospital's payment rate exclusive 
of any previous disproportionate share adjustments. 
adjustments: 

(1) An additional one time payment for the 12- 
month period ending June 30, 1995, in an 
amount determined by the Director of the 
Division of Medical Assistance, may be paid to 
the public hospital having the largest number of 
Medicaid inpatient days of all hospitals as 
determined in Subparagraph (a)(5) of this Rule. 
The payment limits of the Social Security Act, 
Title XIX, section 1923(g)(1)(B) require that 
when added to other DSH payments, the 
additional disproportionate share payment will 
not exceed 200 percent of the total costs of 
providing inpatient and outpatient services to 
Medicaid and uninsured patients less all 
payments received for services provided to 
Medicaid and uninsured patients. This payment 
may be doubled in accordance with section 
1923(g)(2). The total of all payments may not 
exceed the limits on Disproportionate Share 
Hospital funding as set for the State by HCFA. 

(2) An additional one time payment for the 12- 
month period ending September 30, 1995, in an 
amount determined by the Director of the 
Division of Medical Assistance, may be paid to 
the public hospital having the largest number of 
Medicaid inpatient days of all hospitals as 
determined in Subparagraph (a)(5) of this Rule, 
determined without regard to the inpatient days 
of either the hospital that qualifies for 
disproportionate share payments under the 
provisions of Subparagraph (D)(1) of this Rule or 
the hospitals that qualify for payments under 10 
NCAC 26H .0212(h). The payment limits of 
the Social Security Act, Title XIX, section 
1923(g)(1) applied to this payment require that 
when this payment is added to other DSH 
payments, the additional disproportionate share 
payment will not exceed 100 percent of the total 
costs of providing inpatient and outpatient 
services to Medicaid and uninsured patients less 
all payments received for services provided to 
Medicaid and uninsured patients. The total of 
all payments may not exceed the limits on 
Disproportionate Share Hospital funding as set 
for the State by HCFA. 

(3) The payments authorized by Subparagraphs (1) 
and (2) of this Paragrap h shall be effective in 
accordance with G.S. 108A-55(c). 



1156 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



(c) Effective July 1, 1994, hospitals eligible under 
Subparagraph (a)(6) of this Rule will be eligible for 
disproportionate share payments, in addition to other 
payments made under the North Carolina Medicaid Hospital 
reimbursement methodology, from a disproportionate share 
pool under the circumstances specified in Subparagraphs (1), 
(2) and (3) of this Paragraph. 

(1) An eligible hospital will receive a monthly 
disproportionate share payment based on the 
monthly bed days of services to low income 
persons of each hospital divided by the total 
monthly bed days of services to low income 
persons of all hospitals items allocated funds. 

(2) This payment shall be in addition to the 
disproportionate share payments made in 
accordance with Subparagraphs (a)(1) through 
(5) of this Rule. However, DMH/DD/SAS 
operated hospitals are not required to qualify 
under the requirements of Subparagraphs (a)(1) 
through (5) of this Rule. 

(3) The amount of allocated funds shall be 
determined by the Director of the Division of 
Medical Assistance, but not to exceed the 
quarterly grant award of funds (plus appropriate 
non-federal match) earmarked for 
disproportionate share hospital payments less 
payments made under Subparagraphs (a)(1) 
through (5) divided by three. 

In Subparagraph (c)(1) of this Rule, bed days of services 
to low income persons is defined as the number of bed days 
provided to individuals that have been determined by the 
hospital as patients that do not possess the financial 
resources to pay portions or all charges associated with care 
provided. 

Low income persons include those persons that have been 
determined eligible for medical assistance. The count of 
bed days used to determine payment is based upon the 
month immediately prior to the month that payments are 
made. 

Disproportionate share payments to hospitals are limited 
in accordance with The Social Security Act as amended, 
Title XDv section 1923 (g), limit on amount of payment to 
hospitals. 

(d) Effective January 1, 1995 (see Subparagraph (6) of 
this Paragraph) and subject to the availability of funds, 
hospitals that qualify as disproportionate share hospitals 
under Subparagraphs (a)(1) through (5) of this Rule and that 
also operate Medicare approved graduate medical education 
programs shall be eligible for disproportionate share 
payments for hospital inpatient services in addition to other 
payments made under the North Carolina Medicaid Hospital 
DRG reimbursement methodology from a disproportionate 
share pool under the circumstances specified in 
Subparagraphs (1) and (2) of this Paragraph: 

(1) Qualifications effective January 1, 1995 through 
September 30, 1995 are based on cost report 
data and financial information for the fiscal year 



ending in 1993 as submitted to the Division of 
Medical Assistance on or before September 1, 
1994. Qualifications for the 12 month period 
beginning October 1, 1995 and subsequent 12 
month periods beginning October 1 of each year, 
shall be based on cost report data and financial 
information for the fiscal year ending in the 
preceding calendar year, as submitted to the 
Division of Medical Assistance on or before 
September 1 immediately preceding the 12 
month period beginning October 1 for which 
eligibility is being determined. 

(2) Additional payments for the period from January 
1, 1995 through September 30, 1995 shall be 
made based on hospital cost per case mix index 
adjusted discharge, as established by Exhibit 5.1 
contained in the report entitled "DRG-Based 
Prospective Payment Methodology for Inpatient 
Services" dated January 25, 1995 prepared by 
Myers and Stauffer, Chartered Certified Public 
Accountants, for the North Carolina Division of 
Medical Assistance and arranged from low to 
high as specified in Parts (A) and (B) of this 
Subparagraph: 

(A) Hospitals with a calculated cost per case mix 
index adjusted discharge cost of three thousand 
one hundred fifty six dollars ($3,156) or less 
shall be entitled to an additional payment in an 
amount that when added to other Medicaid 
payments may not exceed 100% of allowable 
Medicaid costs, as determined by the Medicare 
principles of cost reimbursement; 

(B) Hospitals with a calculated cost per case mix 
index adjusted discharge cost of more than 
three thousand one hundred fifty six dollars 
($3,156) shall be entitled to additional 
payments in an amount that when added to 
other Medicaid payments may not exceed 85 % 
of allowable Medicaid costs, as determined by 
Medicare principles of cost reimbursement. 

(3) Additional payments for the 12 month period 
beginning October 1, 1995 and for each 
subsequent 12 month period shall be determined 
as specified in Parts (A), (B) and (C) of this 
Subparagraph: 

(A) The calculated cost per case mix index 
adjusted discharge amount of three thousand 
one hundred fifty six ($3,156) shall be updated 
annually by the National Hospital Market 
Basket Index and the most recent actual and 
projected cost data available from the North 
Carolina Office of State Budget and 
Management; 

(B) Each hospital's cost per case mix index 
adjusted discharge shall be ascertained by 
analysis of charges for Medicaid inpatient 
claims reimbursed under the DRG 



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1157 



PROPOSED RULES 



methodology and paid during the immediately 
preceding calendar year, multiplied by each 
hospital's ratio of cost to charges derived from 
cost report data and financial information for 
the fiscal year of each hospital ending in the 
preceding calendar year, as submitted to the 
Division of Medical Assistance on or before 
the first day of September immediately 
preceding the 12 month period beginning 
October 1 for which eligibility is being 
determined; and 
(C) Hospitals with a case mix index adjusted 
discharge cost equal to or less than three 
thousand one hundred fifty six ($3,156) plus 
any annual updated amount shall be entitled to 
an additional payment in an amount that when 
added to other Medicaid payments may not 
exceed 100% of allowable Medicaid costs, as 
determined by the Medicare principles of cost 
reimbursement; hospitals with calculated costs 
per case mix index adjusted discharge greater 
than three thousand one hundred fifty six 
($3,156) plus any annual updated amount shall 
be entitled to additional payments in an amount 
that when added to other Medicaid payment 
does not exceed 85% of allowable Medicaid 
costs, as determined by Medicare principles of 
cost reimbursement. 

(4) Payments shall be made on an estimated basis no 
less frequently than quarterly during the period 
for which such payments are to be made. 
Estimated payments shall be based on costs 
incurred and payments received for Medicaid 
inpatient DRG services during the most recent 
fiscal year for which the Division of Medical 
Assistance has a completed cost report. 
Estimated payments made to each hospital shall 
be cost settled as determined by an independent 
CPA furnished by the provider, based on cost 
reports for the period for which payments are 
made, and appropriate adjustments shall be made 
to assure that such payments do not exceed the 
hospital's net cost of providing services to 
Medicaid patients. 

(5) Payments may not exceed the amount of funds 
available as determined by the Director of the 
Division of Medical Assistance. Should 
available funds be insufficient to pay in full the 
authorized payments, the Division of Medical 
Assistance shall ascertain maximum payments 
allowable and the funds available to qualifying 
hospitals shall be prorated on that basis. 

(6) The changes to disproportionate share payments 
authorized by this Paragraph are in accordance 
with G.S. 108A-55(c). 

Authority G.S. 108A-25(b); 108A-54; 108A-55; 42 C.F.R. 



447, Subpart C. 

****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Social Services Commission 
(Division of Facility Services) intends to adopt rules cited as 
10 NCAC 42B . 1209; 42C .2010 and 42D . 1409. 

Temporary: These Rides were filed as temporary adoptions 
effective October 1 , 1995 for a period of 180 days or until 
the permanent rule becomes effective, whichever is sooner. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
December 6, 1995 at the Albemarle Building, Room 943-2, 
325 N. Salisbury Street, Raleigh, NC. 

Reason for Proposed Action: Adopt permanent version of 
temporary rules which became effective October 1, 1995. 
Pursuant to Senate Bill 864 which was ratified by the 1995 
General Assembly, the Department may adopt emergency 
rules to implement provisions contained in the bill including 
the one regarding competency evaluation of staff in adult 
care homes who perform personal care services. 

Comment Procedures: Comments may be presented 
anytime before or at the public hearing. Tune limits for oral 
remarks may be imposed by the Commission Chairman. Any 
person may request copies of these Rules by calling or 
writing to Shamese Ransome, Special Assistant, N.C. 
Division of Social Services, 325 N. Salisbury Street, 
Raleigh, NC 27603, 919/733-3055. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 42 - INDIVIDUAL AND FAMILY 
SUPPORT 

SUBCHAPTER 42B - LICENSING OF HOMES 
FOR DEVELOPMENT ALLY DISABLED ADULTS 

SECTION .1200 - PERSONNEL 

.1209 COMPETENCY OF STAFF PROVIDING 
PERSONAL CARE 

(a) The facility shall ensure that staff who provide 
personal care to residents perform only those personal care 
tasks for which they have demonstrated competency to the 
facility administrator or a person designated by the 
administrator. 

(b) The facility shall maintain documentation of the 
competency evaluation of staff who provide personal care 
that is kept current, filed in an orderly manner and made 
available for review by the Department of Human 



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10:13 



PROPOSED RULES 



Resources. 

Statutory Authority G.S. 131D-2; 131D-4.3; 143B-153. 

SUBCHAPTER 42C - LICENSING OF FAMILY 
CARE HOMES 

SECTION .2000 - PERSONNEL 

.2010 COMPETENCY OF STAFF PROVIDING 
PERSONAL CARE 

(a) The facility shall ensure that staff who provide 
personal care to residents perform only those personal care 
tasks for which they have demonstrated competency to the 
facility administrator or a person designated by the 
administrator, except when the administrator is also the 
personal care staff. 

(b) The facility shall maintain documentation of the 
competency evaluation of staff who provide personal care 
that is kept current, filed in an orderly manner and made 
available for review by representatives of the Department of 
Human Resources. 

Statutory Authority G.S. 131D-2; 131D-4.3; 143B-153. 

SUBCHAPTER 42D - LICENSING OF HOMES 
FOR THE AGED AND INFORM 

SECTION .1400 - PERSONNEL 

.1409 COMPETENCY OF STAFF PROVIDING 
PERSONAL CARE 

(a) The facility shall ensure that staff who provide 
personal care to residents perform only those personal care 
tasks for which they have demonstrated competency to the 
facility administrator or a person designated by the 
administrator. 

(b) The facility shall maintain documentation of the 
competency evaluation of staff who provide personal care 
and their supervisors that is kept current, filed in an orderly 
manner and made available for review by representatives of 
the Department of Human Resources. 

Statutory Authority G.S. 131D-2; 131D-4.3; 143B-153. 



TITLE 15A - DEPARTMENT OF 

ENVIRONMENT, HEALTH, AND 

NATURAL RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Wildlife Resources 
Commission intends to amend rules cited as 15 A NCAC 10F 
.0339, .0360; and adopt rule cited as ISA NCAC 10K 
.0003. 

Proposed Effective Date: February 1, 1996. 



A Public Hearing will be conducted at 10:00 a.m. on 
October 19, 1995 at the Archdale Building, Room 332, 512 
N. Salisbury Street, Raleigh, NC 27604. 

Reason for Proposed Action: 

15A NCAC 10F .0339, .0360 - To regulate boat speeds in 

congested areas. 

ISA NCAC 10K .0003 - To establish criteria for hunter 

safety instructor certification. 

Comment Procedures: Interested persons may present their 
views either orally or in writing at the hearing. In addition, 
the record of hearing will be open for receipt of written 
comments from October 2, 1995 - November 1 , 1995. Such 
written comments must be delivered or mailed to the North 
Carolina Wildlife Resources Commission, 512 North 
Salisbury Street, Raleigh, NC 27604-1 188. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 10 - WILDLIFE RESOURCES AND 
WATER SAFETY 



SUBCHAPTER 10F 



MOTORBOATS AND WATER 
SAFETY 



SECTION .0300 - LOCAL WATER SAFETY 
REGULATIONS 

0339 MCDOWELL COUNTY 

(a) Regulated Areas. This Rule applies to the following 
waters located on Lake James in McDowell County: 

(1) that area adjacent to the shoreline of the 
McDowell Wildlife Club property; 

(2) that area adjacent to the shoreline of the Marion 
Moose Club property; 

(3) that area known as Morgan Cove; 

(4) that area within 50 yards of the shoreline at the 
New Manna Baptist Youth Camp; 

(5) that area within 50 yards of the shoreline at 
Burnett's Landing; 

(6) the cove area adjacent to the State Park 
swimming area; 

(7) the cove area adjacent to the State Park picnic 
area and dock; 

(8) that area within 50 yards of camping areas in the 
Lake James State Park as designated by the 
appropriate markers; 

(9) that area within 50 yards of the boat launching 
ramp at the Marion Lake Club. Club; 

(10) that area within 50 yards in either direction from 
the marina docks in Plantation Point Cove. 

(b) Speed Limit. No person shall operate any motorboat 
or vessel at greater than no-wake speed within any of the 
regulated areas described in Paragraph (a) of this Rule. 

(c) Restricted Swimming Areas. No person operating or 



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1159 



PROPOSED RULES 



responsible for the operation of any vessel, surfboard or 
waterskis shall permit the same to enter any marked 
swimming area located on the regulated area. 

(d) Placement and Maintenance of Markers. The Board 
of Commissioners of McDowell County is designated a 
suitable agency for placement and maintenance of the 
markers implementing this Rule. 

Statutory Authority G.S. 75A-3; 75A-15. 

.0360 GRAHAM COUNTY 

(a) Regulated Area. This Rule applies to the waters and 
portions of waters described as follows: 

(1) Lake Santeetlah Boat Dock on Lake Santeetlah 
in Graham County. 

(2) Entrance of Fontana Boat Dock in Fontana Lake 
in Graham County. 

(3) Thomas Boat Dock on Fontana Lake in Graham 
County. 

(4) Crisp's Boat Dock, Panther Creek on Fontana 
Lake in Graham County. 

(~b) Speed Limit. No person shall operate a vessel at 
greater than no-wake speed within 50 yards of the regulated 
areas as described in Paragraph (a) of this Rule. 

(c) Placement and Maintenance of Markers. The Graham 
County Board of Commissioners is designated as a suitable 
agency for the placement and maintenance of markers 
implementing this Rule. 

Statutory Authority G.S. 75A-3; 75A-15. 

SUBCHAPTER 10K - HUNTER SAFETY COURSE 

.0003 INSTRUCTOR CERTIFICATION 
REQUIREMENTS 

£a) Be 2J. years of age upon application. 

(b) Be a graduate of a Basic Hunter Education Course 
approved by the Wildlife Resources Commission. Approved 
courses must satisfy the requirements set out in ISA NCAC 
10K .0001 or be certified by a state or province that meets 
and or exceeds the requirements set out in j_5 NCAC 10K 
.0001. 

(c) Complete the North Carolina Hunter Education 
Instructors Application. 

(d) Complete the J_2 hour Hunter Education Instructors 
Course, and score 75 percent or higher on the written 
examination. 

(e) Submit to a background investigation including a 
records check which reveals no disqualifying convictions. 
Disqualifying convictions are listed as follows: 

(1) a felony; or 

a crime or unlawful act defined as a "Class 1 " 



ill 



^J 



misdemeanor within the five year period prior to 
the date of application; or 
any conviction of the game and fish law which 
v.ould require a mandatory suspension and or 
revocation of a license as indicated in G.S. 



1 13-276.3 within the three year period prior to 
the date of application. 

Statutory Authority G.S. 1 13-134; 1 13-270. 1A. 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rule cited as 15A NCAC 13A 
.0006 and adopt 13 A .0019. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 p.m. on 
October 19, 1995 at the Groundfloor Hearing Room, 
Archdale Building, 512 N. Salisbury St., Raleigh, NC. 

Reason for Proposed Action: No additional fiscal impact 
on State or local government as these wastes are currently 
regulated. These amendments to the rules streamline 
hazardous waste management regulations governing the 
collection and management of certain widely generated 
wastes, known as "universal wastes. " Amendments proposed 
cover hazardous waste batteries (e.g., nickel cadmium), 
certain hazardous waste pesticides, and mercury-containing 
thermostats. By reducing regulatory requirements, the State 
will encourage manufacturers to establish environmentally 
sound collection programs, and retailers to participate in 
them. Although households and small businesses produce 
much of these wastes, retailers were previously reluctant to 
accept them because of concerns that some of the wastes 
might be from regulated hazardous waste generators. 

Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Grady L. Balentine, Department of Justice, PO 
Box 629, Raleigh, NC 27602-0629. All written comments 
must be received by November 1 , 1995. Persons who wish 
to speak at the hearing should contact Mr. Balentine at 
(919) 733-4618. Persons who call in advance of the hearing 
will be given priority on the speaker's list. Oral 
presentation lengths may be limited depending on the 
number of people that wish to speak at the public hearing. 
Only persons who have made comments at a public hearing 
or who have submitted written comments will be allowed to 
speak at the Commission meeting. Comments made at the 
Commission meeting must either clarify previous comments 
or proposed changes from staff pursuant to comments made 
during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTERESTED AND 
POTENTIALLY AFFECTED PERSONS, GROUPS, 
BUSINESSES, ASSOCIATIONS, INSTITUTIONS OR 
AGENCIES MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 



1160 



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10:13 



PROPOSED RULES 



THROUGH THE PUBLIC HEARING AND COMMENT 
PROCESS, WHETHER THEY SUPPORT OR OPPOSE ANY 
OR ALL PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE RULES AT 
THE COMMISSION MEETING IF THE CHANGES 
COMPLY WITH G.S. 150B-2I.2(f). 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 13 - SOLID WASTE MANAGEMENT 

SUBCHAPTER 13A - HAZARDOUS WASTE 
MANAGEMENT 

.0006 IDENTmCATION AND LISTING 

OF HAZARDOUS WASTES - PART 261 

(a) 40 CFR 261.1 through 261.9 364-r8 (Subpart A), 
"General", are have — bee» incorporated by reference 
including subsequent amendments and editions. 

(b) 40 CFR 261.10 through 261.11 (Subpart B), "Criteria 
for Identifying the Characteristics of Hazardous Waste and 
for Listing Hazardous Waste", are havo been incorporated 
by reference including subsequent amendments and editions 

(c) 40 CFR 261.20 through 261.24 (Subpart C), 
"Characteristics of Hazardous Waste" are havo — boon 
incorporated by reference including subsequent amendments 
and editions. 

(d) 40 CFR 261.30 through 261.35 (Subpart D), "Lists of 
Hazardous Wastes" are havo boon incorporated by reference 
including subsequent amendments and editions. 

(e) The Appendices to 40 CFR Part 261 are havo boon 
incorporated by reference including subsequent amendments 
and editions. 

Statutory Authority G.S. 130A-294(c); 150B-21.6. 

.0019 STANDARDS FOR UNIVERSAL 

WASTE MANAGEMENT - PART 273 

(a) 40 CFR 273.1 through 273.5 (Subpart A), "General" 
are incorporated by reference including subsequent 
amendments and editions. 

£b} 40 CFR 273.10 through 273.20 (Subpart Bj, 
"Standards for Small Quantity Handlers of Universal Waste" 
are incorporated by reference including subsequent 
amendments and editions. 

(cj 40 CFR 273.30 through 273.40 (Subpart C), 
"Standards for Large Quantity Handlers of Universal Waste" 
are incorporated by reference including subsequent 
amendments and editions. 

(d) 40 CFR 273.50 through 273.56 (Subpart D), 
"Standards for Universal Waste Transporters" are 
incorporated by reference including subsequent amendments 
and editions. 

£e) 40 CFR 273.60 through 273.62 (Subpart E^ 
"Standards for Destination Facilities" are incorporated by 
reference including subsequent amendments and editions. 



(J) 40 CFR 273.70 (Subpart F), "Import Requirements" 
is incorporated by reference including subsequent 
amendments and editions. 

(g) 40 CFR 273.80 through 273.81 (Subpart G), Petitions 
to include Other Wastes Under 40 CFR Part 273 are 
incorporated by reference including subsequent amendments 
and editions. 

Statutory Authority G.S. 130A-294(c); 150B-21.6. 
****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rules cited as 15A NCAC 18A 
. 1801 - . 1814 and . 1818. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 pm on October 
19, 1995 at the Ground Floor Hearing Room, Archdale 
Building, 512 N. Salisbury Street, Raleigh. NC. 

Reason for Proposed Action: The lodging rules have not 
been comprehensively reviewed since 1976. In intervening 
years, industry practice and statutes have changed and 
health science has advanced.. In addition, certain areas 
were in need of clarification due to confusion that was 
created by unclear wording. The proposed changes are 
intended to cause the lodging rules to be clearer and reflect 
current practice, law and science. 

Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Susan Grayson, Food, Lodging and Institutional 
Sanitation Branch Head, PO Box 27687, Raleigh, NC 
2761 1-7687. All written comments must be received by 
November 1 , 1995. Persons who wish to speak at the 
hearing should contact Ms. Grayson at (919) 715-0926. 
Persons who call in advance of the hearing will be given 
priority on the speaker's list. Oral presentation lengths may 
be limited depending on the number of people that wish to 
speak at the public hearing. Only persons who have made 
comments will be allowed to speak at the Commission 
meeting. Comments made at the Commission meeting must 
either clarify previous comments or proposed changes from 
staff pursuant to made during the public hearing process. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

CHAPTER 18 - ENVmONMENTAL HEALTH 

SUBCHAPTER 18A - SANITATION 

SECTION .1800 - SANITATION OF LODGING 



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1161 



PROPOSED RULES 



(2) 



PLACES 

.1801 DEFINITIONS 

The following definitions shall apply throughout this 
Section: 
(1) (3) "Department" ohall m e an means the S e cr e tary 
of North Carolina Department of Environment, 
Health, and Natural Resources, or his authorized 
representativ e . The term also means the 
authorized representative of the Department. 
" Employe e s " — moano and inoludeo all janitoro, 
maids, — porters, — and any others whose duties 
include the cleaning of rooms, toilets, or other 
parte of the building, or the oarrying of io e or io e 
wat e r to gu e sts. "Person" means person as 
defined in G.S. 130A-2. 

(5) The lobby of any lodging place "Lobby" 
means that room or area in which guests 
ordinarily register. 

Hi "Lodging place establishment " means all 
hotels, motels, inns, tourist homes, and other 
places providing lodging accommodations for pay. 
pay, not including privat e hom e s which provid e 
lodging to permanent house guests. Facilities 
described in G.S. 130A-250 (1) through (5) shall 
not be regulated as lodging establishments. 
"Sanitize" means the approved bactericidal 
treatment by a process which meets the 



m 



14) 



[5] 



£61 



(4) 



& 



(3) 
(4) 

(5) 
(6) 

(7) 

the (8) 



temperature and chemical concentration levels in 
15A NCAC 18A .2619. 

"Single-service" means cups, containers, lids, 
closures, plates, knives, forks, spoons, stirrers, 
paddles, straws, napkins, wrapping materials, 
toothpicks, and similar articles intended for one- 
time, one person use and then discarded. 
"Local health director" shall moan local health 
director as defined in G.S. — 130A 2(6), or his 
authorized representative. 

"Sanitarian" ohall m e an a p e rson authorized to 
represent the Department on the local or state 
level in making inspections pursuant to state laws 
and rul e s. 



Statutory Authority G.S. 130A-248. 

.1802 PERMFTS 

(a) No person shall operate a lodging plac e establishment 
within the State of North Carolina who does not possess a 
valid permit from the Department. 

(b) No permit to operate shall be issued until an 
insp e ction evaluation by a representative of the Department 
shows that the establishment complies with these Rules. 

(c) Upon transfer of ownership of an existing lodging 
plac e establishment or upon transfer of the lease of the 
establishment from one person to another , the Department 
shall evaluate the facility to determine compliance with the 
rules. If the establishment satisfies all the requirements of 



the rules, a permit shall be issued. If the establishment does 
not satisfy all the requirements of the rules, a permit shall 
not be issued, However, if the Department determines that 
the noncompliant items are construction or equipment 
problems that do not represent an immediate threat to the 
public health, a transitional permit may be issued. The 
transitional permit shall expire 90 days after the date of 
issuance, unless suspended or revoked before that date, and 
shall not be renewed. Upon expiration of a transitional 
permit, the owner or operator or leasee shall have corrected 
the noncompliant items and obtained a permit, or the 
lodging place shall not continue to operate. 

(d) The Department may impose conditions on the 
issuance of a permit or a transitional permit. Conditions 
may be specified for one or more of the following areas: 

(1) The number of bedrooms or persons housed. 

(2) The amount of laundry or kitchen and tableware 
washing equipment on the premises. 
Time schedules in completing minor construction 
items. 

Modification or maintenance of water supplies, 
water use fixtures and sanitary sewage systems. 
Use of facilities for more than one purpose. 
Continuation of contractual arrangements upon 
which basis the permit was issued. 
Submission and approval of plans for 
renovation. 

Any other conditions necessary for a lodging 
place to remain in compliance with this Section. 

(e) Permits or transitional permits are issued by and 
insp e otions evaluations made by the Department. 

(f) A permit or transitional permit shall be immediately 
revoked in accordance with G.S. 130A-23(d) for failure of 
the facility to maintain a minimum grade of C. A permit or 
transitional permit may otherwise be suspended or revoked 
in accordance with 130A-23. A new permit to operate shall 
be issued only after the establishment has been reinspected 
by the Department and found to comply with this Section. 
This reinspection will be conducted within a reasonable 
length of time, not to exceed 30 days, after the request is 
made by the operator. 

Statutory Authority G.S. 130A-248. 

.1803 PUBLIC DISPLAY OF GRADE CARD 

Whenever an inspection of a lodging plac e establishment 
is made, the sanitarian Department shall remove the existing 
grade card, issue a grade card, and post the new grade card 
in a conspicuous place where it may be readily observed by 
the public upon entering the facility. The owner, own e r, or 
operator or leasee shall be responsible for keeping the grade 
card posted and readily visible at the location designated by 
the sanitarian Department at all times. 

Statutory Authority G.S. 130A-248. 

.1804 INSPECTIONS 



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PROPOSED RULES 



(a) Upon request of the management, a roinapoction an 
inspection will be made. In th e oaco of establishm e nts that 
hnvo boon oloood for failur e to oomply with those Rul e s, a 
survey to consider the issuance or reissuance of a permi t 
shall bo made at the earliest convenience of tho sanitarian, 
and an inopootion for th e purpose of e stab l ishing th e 
sanitation grad e — may — be — mad e — at any — tim e aft e r — the 
establishment has boon in operation for at loaat two weeks. 

(b) In die case of establishments that have been closed for 
failure to comply with these Rules, an inspection to 
consider the issuance or reissuance of a permit shall be 
made at the earliest convenience of the Department. 

(c) (fe) In the case of establishments which request an 
inspection for the purpose of raising the alphabetical grade, 
and which hold unrevoked permits, the s anitarian 
Department shall make an unannounced inspection after the 
lapse of a reasonable period of time, not to exceed 30 days. 
for tho purpose of e stablishing a n e w grad e days from the 
date of the request. 

Statutory Authority G.S. 130A-248. 

.1805 INSPECTION FORMS 

The grading of lodging plaooa establishments shall be done 
on an inspection form furnished by the Department to local 
health departments. The form shall include at least the 
following information: 

(1) name and address of lodging places, 

(2) name of manager owner , or leasee, 

(3) score, 

(4) standards Rules of construction and operation as 
listed in Rules .1808 to .1814 of this Section, 

(5) signature of authorized representative. 
representative, 

(6) the permit status code. 

Statutory Authority G.S. 130A-248. 

.1806 GRADING 

The grading of lodging places establishments shall be 
based upon the standards Rules of construction and 
operation set out in Rules .1808 to .1814 of this Section. 

Statutory Authority G.S. 130A-248. 

.1807 APPROVED LODGING ESTABLISHMENTS 

The sanitation grading of all lodging plao e s establishments 
shall be based on a system of scoring wherein all 
establishments receiving a score of at least 90 percent shall 
be awarded Grade A; all establishments receiving a score of 
at least 80 percent and less than 90 percent shall be awarded 
Grade B; all establishments receiving a score of at least 70 
percent and less than 80 percent shall be awarded Grade C; 
and no establishment receiving a score of less than 70 
percent, or Grade C, shall operate. 

Statutory Authority G.S. 130A-248. 



.1808 LOBBY: HALLS: AND STAIRS 

(a) The lobby, halls, and stairs stairs, ice and vending 
machine locations, and other common areas shall have 
ventilation and sufficient at least 10 foot-candles of light fet 
cleaning at 30 inches above the floor . 

(b) Floors, walls, ceilings, and windows and ventilation 
shall be kept clean and in good repair. 

(c) Furniture, fixtures, draperies, and other accessories 
shall be proporly maintained and cleaned clean and in good 
repair . 

Statutory Authority G.S. 130A-248. 

.1809 LAVATORIES AND BATHS 

(a) Baths, lavatories, and toilets shall be provided for 
each room or unit in establishments constructed on or after 
December 1, 1988. Such fixtures shall be kept clean and in 
good repair. 

(b) All lavatory and bathing facilities shall include hot and 
cold running water under prossuro , — individual towels, 
pressure with a mixing faucet, a towel for each guest, and 
soap. Floors and walls shall b e constructed of smooth, 
non absorb e nt, washabl e mat e rials. 

(c) Floors, walls, and ceilings shall be kept clean and in 
good repair cleanable. durable, and shall be kept clean and 
in good repair . 

(d) All sewage and other liquid wastes shall be disposed 
of in a public sewer system or, in the absence of a public 
sewer system, by an approved, properly operating, sanitary 
sewage system. 

Statutory Authority G.S. 130A-248. 

.1810 WATER SUPPLY 

(a) Water supplies shall meet the requirements in 15A 
NCAC 18A .1700. 

(b) The water supply used shall be located, constructed, 
maintained, and operated in accordance with the 
Commission for Health Services' rules governing water 
supplies. Copies of 15A NCAC 18A .1700 and 15A NCAC 
1 8C may be obtained from the Division of Environmental 
Health, Department of Environment, Health, and Natural 
Resources, P.O. Box 27687, Raleigh, North Carolina 
27611-7687. At least once a year, a sample of water shall 
be collected by the Department and submitted to the 
Division of Laboratory Services or other laboratory certified 
by the Department to perform bacteriological examinations. 
However, a water sample is not required for a lodging 
establishment using a community water supply regulated 
under 15A NCAC 18C. 

(c) Cross-connections with sewage lines or unapproved 
water supplies or other potential sources of contamination 
are prohibited. All plumbing fixturos for potable water shall 
b e provid e d and installed as required by th e North Carolina 
Stat e Building Code. — Copi e s of th e North Carolina Stat e 
Building Code may bo obtained from tho North Carolina 
Dopartmont of Insurance, P.O. Box 263 8 7, Raleigh, North 



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1163 



PROPOSED RULES 



Carolina 27611. 

(d) Hot water heating facilities shall be provided. Hot 
and cold running water under pressure shall be provided in 
sufficient quantities necessary for te food preparation areas, 
and any other areas in which water is required for cleaning. 

(e) Hot water in guest rooms shall be provided at a 
temperature of 120'F or less . 

Statutory Authority G.S. 130A-248. 

.1811 DRINKING WATER FACILITIES 

(a) Facilities for the dispensing of drinking water shall be 
of approved sanitary design. If wator oooling equipment io 
inotallod, it ohall bo of a typo in whioh ioe do e s not oom e in 
oontaot with the wat e r. If drinking fountains are provided, 
they shall be of approved angle-jet type. Common dippers 
or common drinking glasses or cups shall not bo uood. 

(b) For room service, glaoo e o and Multi-use or single 
service, glasses, cups, pitchers (or multi uso tube), or 
s ingle s ervice cups and single service tubs, or ice buckets 
may be used, provided all multi-use utensils are washed 
thoroughly, subjected to approved bactericidal treatment, 
and stored and handled in a sanitary manner before being 
given to succeeding guests. For the washing, bactericidal 
treatment, and storage of multi-use utensils, facilities 
meeting the requirements of the "Sanitation of Restaurants 
and Other Foodhandling Establishments" 15A NCAC 18A 
.2600 shall be provided in a separate room. These utensils 
shall not be washed in room lavatories. Single-service cups, 
tube, or oimilar items shall be stored and handled in a 
sanitary manner. Clean glasses shall be individually 
wrapped or fitted with a single-service cap that covers the 
edge of the glass . If disposable or single service plastic 
liners are provided for ice buckets, the sanitization of 
buckets is not required. 

(c) Ice used for room service shall be manufactured from 
a safe an a pproved water supply , supp ly and shall be stored 
and handled in a sanitary manner, manner, and blook io e 
ohall b e washed. Where ice is made on the premises, the 
machines shall be located in a protected plaoo; long handled 
scoops place. Scoops shall be provided so guests or 
employees can dispense ice in a sanitary manner. 
Machines, mann e r; and maohin e o, equipment, utensils, and 
the room or area in which the machines are located shall be 
kept clean and in good repair. All ice machines for use by 
guests installed after January jj, 1996, shall dispense ice 
without exposing stored ice to guests. 

(d) Ice storage bins shall not be used for any other 
purpose and shall be kept clean and in good repair . 

(e) If cooking and multi-use eating and drinking utensils 
are provided for use by guests in cooking, food preparation, 
utensil washing areas occupied by quests, the lodging 
establishment shall wash, rinse and sanitize the cooking and 
multi-use eating and drinking utensils prior to use by 
succeeding guests. 



.1812 GUESTROOMS 

(a) Bedroom s Guestrooms shall have adequate lighting 
and ventilation, and 30 foot-candles of light at 30 inches 
above the floor, oithor natural or artificial. Lighting shall 
be adequate for reading and to enable thorough cleaning. 
Where natural ventilation only is provided, windows with 
screens shall equal at least one-eighth of the floor area and 
shall be capable of being opened . Windows shall be kept 
clean and in good repair. In the absence of windows, air 
conditioning and artificial lighting constitutes satisfactory 
compliance. 

(b) Approved window Window coverings shall bo 
provided to insure privacy for guoots, and shall be kept 
clean and in good repair. 

(c) Two sheets shall be provided for each bed. The 
lower sheet shall be of sufficient length to fold folded under 
both ends of the mattress, mattress where oontour shoots 
are not used. The upper sheet shall be of ouffioi e nt length 
to fold folded under the mattress at the lower end and te 
feW folded over the cover for at least six inches at the top 
end All shoots shall bo of sufficient width to tuck under the 
mattreoo and ohall b e clean for oaoh n e w oooupant. — All b e d 
lin e ns and furnishings shall b e k e pt cl e an and in good 
repair. Bed linens, including sheets and pillow cases, shall 
be kept clean and in good repair. 

(d) The floors, walls, and ceilings of bedrooms, closets, 
and storage areas shall be kept clean and in good repair. 
Furniture, shades, curtains, carpets and other accessories 
shall be kept clean and in good repair. 

(e) All lodging establishments shall be kept free of 
roaches, flies and other pests. Guestrooms Bodroomo 
having outside openings shall be effectively screened unless 
air conditioned. 

Statutory Authority G.S. 130A-248. 

.1813 STORAGE 

Storag e rooms or oabin e ts shall b e provid e d for all 
suppli e s, lin e ns, and e quipm e nt. Cl e an lin e n ohall be stored 
in cabtnots, or on shelves in linon storage rooms. — Cabinets, 
s helves, and storage rooms shall bo kept neat, orderly and 
ol e an. Soil e d linen shall b e so handl e d and stor e d as not to 
oom e in oontaot with clean linon. 

(a) Storage rooms or cabinets shall be provided for all 
supplies, linens, and equipment. 

(b) Clean linen shall be stored in cabinets, or on shelves 
in linen storage rooms. Cabinets, shelves, and storage 
rooms shall be arranged to facilitate cleaning and kept clean. 

(c) Soiled linen shall be so handled and stored as not to 
come in contact with clean linen. 

(d) A separate storage area shall be provided for building 
and ground maintenance equipment and su pplies. 

(e) Items on housekeeping carts shall be arranged in a 
manner to prevent cross-contamination between soiled and 
cleaned items. 



Statutory Authority G.S. 130A-248. 



Statutory Authority G.S. 130A-24S. 



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.1814 DISPOSAL OF GARBAGE AND TRASH: 
PREMISES 

(a) All garbage and trash shall be collected and stored in 
covered containers in such a manner as not to create a 
nuisance. Garbage storage containers shall be kept clean- 
Garbag e ohnll be oollooted and stor e d in wat e rtight garbag e 
oans provided with tight fitting lids. — Rubbish, litt e r and 
other items not used in the operation of the establishment 
shall not bo permitted to accumulate on the promiooo. 

(b) There shall be no fly- or mosquito-breeding places, 
rodent harborages, or undrained areas on the premises. The 
premises shall be kept neat and clean. Rubbish, litter and 
other items not used in the operation of the establishment 
shall not be permitted to accumulate on the premises. 

(c) Facilities shall be provided for the washing and 
storage of garbage and trash containers, mops, mop 
buckets, mop wringers, and any other equipment used in the 
cleaning of the lodging establishment. Cleaning facilities 
shall include combination faucet, hot and cold water, hose 
bibb with a backflow prevention device and curved 
impervious pad sloped to drain or other a pproved facilities 
or methods. Where dumpsters are used, a contract for off- 
site cleaning shall constitute compliance with this Paragraph. 

Statutory Authority G.S. 130A-248. 



19, 1995 at the Ground Floor Hearing Room, Archdale 
Building, 512 N. Salisbury Street, Raleigh, NC. 

Reason for Proposed Action: The agency, several local 
health departments , and representatives of industry have 
indicated that there is a need for various changes in 
Restaurant Rules in order to eliminate confusion and 
differences in interpretation of the rules. 

Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Susan Grayson, Food, Lodging and Institutional 
Sanitation Branch Head, PO Box 27687, Raleigh, NC 
2761 1-7687. All written comments must be received by 
November 1, 1995. Persons who wish to speak at the 
hearing should contact Ms. Grayson at (919) 715-0926. 
Persons who call in advance of the hearing will be given 
priority on the speaker's list. Oral presentation lengths may 
be limited depending on the number of people that wish to 
speak at the public hearing. Only persons who have made 
comments will be allowed to speak at the Commission 
meeting. Comments made at the Commission meeting must 
either clarify previous comments or proposed changes from 
staff pursuant to made during the public hearing process. 



.1818 PLAN REVIEW 

Food preparation or food service activities shall moot tho 
requirements of 15A NCAC 1 8 A .2600, "Rules Governing 
tho Sanitation of Restaurants and Oth e r Foodhandling 
Eotflbliohm e nta". 

(a) Plans, drawn to scale, and specifications, for new 
lodging establishments shall be submitted for review and 
approval to the local health department prior to initiating 
construction. Plans, drawn to scale, and specifications shall 
also be submitted prior to construction of additions or 
renovations to existing lodging establishments. Plans, 
drawn to scale, and specifications for prototype "franchised" 
or "chain" facilities shall also be submitted for review and 
a pproval to the Environmental Health Services Section. 
Division of Environmental Health. 

(b) Construction shall comply with a pproved plans and 
specifications. 

Statutory Authority G.S. 130A-248. 

****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rules cited as 15 A NCAC 18A 
.2601 - .2602, .2618, .2624, .2632, .2635 and repeal rule 
cited as 15 A NCAC 18A .2636. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 pm on October 



Fiscal Note: These Rules do not affect the expenditures or 
revenues of state or local government funds. 

CHAPTER 18 - ENVIRONMENTAL HEALTH 

SUBCHAPTER 18A - SANITATION 

SECTION .2600 - SANITATION OF RESTAURANTS 

AND OTHER FOODHANDLING 

ESTABLISHMENTS 

.2601 DEFINITIONS 

The following definitions shall apply in the interpretation 
and enforcement of this Section: 
(1) "Approved" means determined by the Department 

to be in compliance with this Section. Food 
service equipment which meets National Sanitation 
Foundation standards or equal shall be considered 
as approved. The National Sanitation Foundation 
Commercial Food Service Equipment Standards 
are hereby incorporated by reference including 
any subsequent amendments and editions. This 
material is available for inspection at the 
Department of Environment, Health, and Natural 
Resources, Division of Environmental Health, 
1330 St. Mary's Street, Raleigh, North Carolina. 
Copies may be obtained from NSF International, 
P.O. Box 13014, Ann Arbor, Michigan 
48113-0140, at a cost of three hundred and twenty 
five dollars ($325.00). Food which complies with 
requirements of the North Carolina Department of 



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1165 



PROPOSED RULES 



Agriculture or United States Department of 
Agriculture and the requirements of this Section (14) 

shall be considered as approved. 

(2) "Catered elderly nutrition site" means an 
establishment or operation where food is served, (15) 
but not prepared on premises, operated under the 
guidelines of the N.C. Department of Human 
Resources, Division of Aging. 

(3) "Commissary" means a food stand that services 
mobile food units and pushcarts. The commissary 
may or may not serve customers at the food 
stand's location. 

(4) "Department of Environment, Health, and Natural 
Resources" or "Department" means the North (16) 
Carolina Department of Environment, Health, and 
Natural Resources. The term also means the (17) 
authorized representative of the Department, 

(5) "Drink stand" means those establishments in 
which only beverages are prepared on the 
premises and are served in multi-use containers. (18) 
such as glasses or mugs. 

(6) "Eating and cooking utensils" means any 
kitchenware, tableware, glassware, cutlery, 
utensils, containers, or other equipment with 
which food or drink comes in contact during 
storage, preparation, or serving. (19) 

(7) "Employee" means any person who handles food 
or drink during preparation or serving, or who 
comes in contact with any eating or cooking 
utensils, or who is employed at any time in a 
room in which food or drink is prepared or 
served. 

(8) "Food" means any raw, cooked, or processed 
edible substance, ice, beverage, or ingredient used 

or intended for use or for sale in whole or in part (20) 
for human consumption. 

(9) "Food stand" means those food service 
establishments which prepare or serve foods and 

which do not provide seating facilities for (21) 
customers to use while eating or drinking. 
Establishments which only serve such items as dip 
ice cream, popcorn, candied apples, or cotton 
candy are not included. (22) 

(10) "Hermetically sealed container" means a container 
designed and intended to be secure against the 
entry of micro-organisms and to maintain the 
commercial sterility of its contents after 
processing. 

(11) "Limited food service establishment" means a (23) 
food service establishment which operates for a 

total of 60 days or less per year and more than 15 
days per year. 

(12) "Local Health Director" means the administrative 

head of a local health department or his authorized (24) 
representative. 

(13) "Mobile food unit" means a vehicle-mounted food 
service establishment designed to be readily 



moved. 

"Person" means any individual, firm, association, 
organization, partnership, business trust, 
corporation, or company. 

^Potentially hazardous food" means any food or 
ingredient, natural or synthetic, in a form capable 
of supporting the growth of infectious or toxigenic 
microorganisms, including Clostridium botulinum. 
This term includes raw or heat treated foods of 
animal origin, raw seed sprouts, and treated foods 
of plant origin. The term does not include foods 
which have a pH level of 4.6 or below or a water 
activity (Aw) value of 0.85 or less. 
"Private club" means a private club as defined in 
G.S. 130A-247(2). 

"Pushcart" means a mobile piece of equipment or 
vehicle which serves hot dogs or foods which have 
been prepared, pre-portioned, and individually 
pre-wrapped at a restaurant or commissary. 
""Responsible person" means the individual present 
in a food service establishment who is the 
apparent supervisor of the food service 
establishment at the time of inspection. If no 
individual is the apparent supervisor, then any 
employee is the responsible person. 
"Restaurant" means all establishments and 
operations where food is prepared or served at 
wholesale or retail for pay, or any other 
establishment or operation where food is prepared 
or served that is subject to the provisions of G.S. 
130A-248. The term does not include 

establishments which only serve such items as dip 
ice cream, popcorn, candied apples, or cotton 
candy. 

"Sanitarian" means a person authorized to 
represent the Department on the local or state 
level in making inspections pursuant to state laws 
and rules. 

"Sanitize" means the approved bactericidal 
treatment by a process which meets the 
temperature and chemical concentration levels in 
15A NCAC 18A .2619. 

"Sewage" means the liquid and solid human body 
waste and liquid waste generated by water-using 
fixtures and appliances, including those associated 
with foodhandling. The term does not include 
industrial process wastewater or sewage that is 
combined with industrial process wastewater. 
"Single service" means cups, containers, lids, 
closures, plates, knives, forks, spoons, stirrers, 
paddles, straws, napkins, wrapping materials, 
toothpicks, and similar articles intended for 
one-time, one person use and then discarded. 
"Temporary food s tand establishment " means 
those food or drink stands which operate for a 
period of 15 days per year or less, in connection 
with a fair, carnival, circus, public exhibition, or 



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PROPOSED RULES 






other similar gathering. 
"Temporary r e staurant" 



means a r e staurant, — as 



d o finod in Item (19) of this Rul e , that op e rat e s for 
a period of 15 days or looo, in connection with a 
fair, carnival, circua, public exhibition, or other 
similar gathering. 

Statutory Authority G.S. 130A-248. 

.2602 PERMITS 

(a) No permit to operate shall be issued to a person until 
an inspect i on evaluation by the Department shows that the 
establishment complies with this Section. 

(b) Upon transfer of ownership of an existing food 
service establishment, the Department shall complete an 
inspection evaluation . If the establishment satisfies all the 
requirements of the rules, a permit shall be issued. If the 
establishment does not satisfy all the requirements of the 
rules, a permit shall not be issued. However, if the 
Department determines that the noncompliant items are 
construction or equipment problems that do not represent a 
threat to the public health, a transitional permit may be 
issued. The transitional permit shall expire 90 days after 
the date of issuance, unless suspended or revoked before 
that date, and shall not be renewed. Upon expiration of the 
transitional permit, the owner or operator shall have 
corrected the noncompliant items and obtained a permit, or 
the food service establishment shall not continue to operate. 

(c) The Department may impose conditions on the 
issuance of a permit or transitional permit. Conditions may 
be specified for one or more of the following areas: 

(1) The number of seats or persons served. 

(2) The categories of food served. 

(3) Time schedules in completing minor construction 
items. 

(4) Modification or maintenance of water supplies. 

(5) Use of facilities for more than one purpose. 

(6) Continuation of contractual arrangements upon 
which basis the permit was issued. 

(7) Submission and approval of plans for 
renovation. 

(8) Any other conditions necessary for a food 
service operation to remain in compliance with 
this Section. 

(d) If a permit or transitional permit has been suspended, 
the suspension shall be lifted after the Department has 
inspected the food service operation and found that the 
violations causing the suspension have been corrected. If a 
permit or transitional permit has been revoked, a new 
permit shall be issued only after the Department has 
inspected the food service operation and found it to comply 
with all applicable rules. The inspections shall be conducted 
within a reasonable length of time after the request is made 
by the operator. 

Statutory Authority G.S. 130A-248. 



. 26 1 8 CLEANING OF EQUIPMENT AND UTENSILS 

(a) All equipment and fixtures shall be kept clean. All 
cloths used by chefs and other employees in the kitchen 
shall be clean. Single-service containers shall be used only 
once. 

(b) All multi-use eating and drinking utensils shall be 
thoroughly washed, rinsed, and subjected to an approved 
bactericidal treatment after each usage. The supply of 
eating and drinking utensils shall be of sufficient quantity to 
allow washing, rinsing, sanitizing and air-drying before 
re-use. All multi-use utensils except pizza pans and similar 
type pans (not used for table service) used in the storage, 
preparation, cooking, or serving of food or drink shall be 
cleaned and rinsed immediately after the days' operations, 
after each use, or upon completion of each meal as 
indicated. Pizza pans and similar type pans (not used for 
table service) which are continually subjected to high 
temperatures do not require cleaning after each use or day's 
use but shall be kept clean and maintained in good repair. 

(c) In addition to washing and rinsing multi-use utensils 
as indicated in Paragraph (b) of this Rule, preparation 
surfaces which come in contact with potentially hazardous 
foods and are not subjected to heat during routine cooking 
operations shall be sanitized. Examples of food contact 
surfaces which must be sanitized are utensils used in 
preparing cold salads and cold beverages, cutting boards, 
table tops, knives, saws, and slicers. For utensils and 
equipment which are either too large or impractical to 
sanitize in a dishwashing machine or dishwashing sink, and 
for those establishments which do not have dishwashing 
equipment, a spray-on or wipe-on sanitizer may be used. 
When spray-on or wipe-on sanitizers are used, the chemical 
strengths shall be those required for sanitizing multi-use 
eating and drinking utensils. 

(d) Hand dishwashing facilities shall consist of an 
approved three-compartment sink of sufficient size and 
depth to submerge, wash, rinse and sanitize utensils and 
shall have splash back protection and drain boards that are an 
integral part of and continuous with the sink. These 
drainboards shall be of a sufficient size to accommodate the 
drying drainage of liquids of the washed utensils after being 
sanitized . Air drying of utensils may be accomplished with 
the use of a drainboard, overhead or wall mounted shelves, 
or with the use of stationary or portable racks. 

(e) Where the Department determines that the volume of 
dishes, glasses and utensils to be washed cannot be 
processed in a single warewashing facility, separate dish, 
glass or utensil washing facilities shall be required. 
Separate vegetable washing facilities shall be provided in 
establishments which wash raw vegetables except where 
plan review shows that volume and preparation frequency do 
not require separate vegetable washing facilities or where 
vegetables are purchased prewashed and packaged. 
Establishments which scale or eviscerate fish or wash raw 
poultry shall provide separate sinks with preparation space 
for these processes except where plan review shows that 
volume and preparation frequency do not require separate 



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1167 



PROPOSED RULES 



washing facilities. 

(f) When dishwashing machines are used, the machines 
shall be approved and shall be fitted with drainboards of 
ample capacity on each side, and include a countersunk sink 
or other approved means for pre-cleaning, pre-flushing, or 
pre-soaking of the utensils in the dirty dish lane. 
Thermometers indicating the wash and rinse water 
temperatures shall be provided and kept in good repair. 

(g) When dishwashing machines are used, the machines 
shall be approved on the basis of size, capacity, and type for 
the number of utensils to be washed. Under some 
conditions, as when volume is limited and time permits, 
glasses may be washed with power-driven brushes and 
passed through door-type machines, which are also used for 
dishwashing, for final rinse and bactericidal treatment. For 
this method, a motor-driven glass-washer and a single-vat 
sink may suffice. 

(h) When only single-service eating and drinking utensils 
are used, at least an approved two-compartment sink shall 
be provided. This sink shall be of sufficient size to 
submerge, wash, rinse and sanitize utensils and shall have 
splash back protection and drainboards that are an integral 
part of and continuous with the sink. These drainboards 
shall be of sufficient size to accommodate the drying 
drainage of liquids of the washed utensils after being 
sanitized. Air drying of utensils may be accomplished with 
the use of a drain board, overhead or wall mounted shelves, 
or with the use of stationary or portable racks. 

(i) Facilities for the heating of water shall be provided 
Capacity of hot water heating facilities shall be based on 
number and size of sinks, capacity of dishwashing machines, 
and other food service and cleaning needs. Hot water 
storage tanks shall provide a minimum of 130° F (54° C) 
hot water when water is not used for sanitizing; when hot 
water is used for sanitizing, a minimum storage temperature 
of 140° F (60° C) hot water is required. 

(j) No article, polish, or other substance containing any 
cyanide preparation or other poisonous material shall be 
used for the cleaning or polishing of eating or cooking 
utensils. 

Statutory Authority G.S. 130A-248. 

.2624 TOILET FACILITIES 

(a) Every restaurant shall be provided with toilet facilities 
for a aeh s e x conveniently located and readily accessible at 
all business hours. Unless specified elsewhere in these 
Rules, all restaurants shall have toilets which are convenient 
and accessible to employees and customers. Toilets for 
patrons shall be so located that the patrons do not pass 
through the kitchen to enter the toilet rooms. Intervening 
rooms or vestibules, if provided, shall be constructed and 
maintained in accordance with this Rule. Toilets shall be m 
the proximity of the restaurant and under control of the 
management. Floors and walls shall be constructed of 
non-absorbent, washable materials. Floors, walls, and 
ceilings shall be kept clean and in good repair. Toilet 



rooms shall be provided with self-closing doors, and kept 
free of flies and storage. Windows shall be screened if used 
for ventilation. Fixtures shall be kept clean and in good 
repair. 

(b) Signs shall be posted to advise the public of the 
locations and identities of the toilet rooms. Durable, legible 
signs which read that employees must wash their hands 
before returning to work shall be posted or stenciled 
conspicuously in each employees' toilet room. 

(c) Screens and doors are not required for toilet rooms at 
stadiums or facilities in which toilet rooms open into the 
interior of a building and the exterior doors of the building 
are self-closing. 

(d) All toilet wastes and other sewage shall be disposed 
of in a public sewer system or, in the absence of a public 
sewer system, by an approved sanitary sewage system. 

Statutory Authority G.S. 130A-248. 

.2632 STORAGE SPACES 

(a) Storage spaces shall be kept clean and free from 
unnecessary articles and offensive or musty odors. The 
contents shall be neatly arranged to facilitate cleaning. All 
storage shall be at least 15 in. (3 8 . 1 cm.) 12 in. (30.48cm.) 
above the floor when placed on stationary storage units or 
6 irh (15.24 cm.) above the floor when placed on portable 
storage units or otherwise arranged so as to permit thorough 
cleaning. 

(b) Dry beans, grits, flour, sugar, and similar food 
products shall be stored in approved, tightly covered 
containers, glass jars, or equal and labeled accordingly. 

(c) Shelves in storage rooms shall be constructed 
approximately 1 in. (2.54 cm.) from the wall, unless tightly 
stripped to eliminate cracks or roaches. 

(d) Bulky items shall be stored on slatted shelves or 
movable dollies. 

(e) Foods shall not be stored under exposed sewer lines. 

Statutory Authority G.S. 130A-248. 

.2635 REQUIREMENTS FOR TEMPORARY FOOD 
ESTABLISHMENTS 

The following requirements shall be satisfied in order for 
temporary food stands establishments to qualify for a permit 
under Rule .2602 of this Section: 

(1) Temporary food stands establishments shall be 
located in clean surroundings and kept in a clean 
and sanitary condition. They shall be so 
constructed and arranged that food, utensils, and 
equipment will not be exposed to insects, dust, 
and other contamination. Protection against flies 
and other insects shall be provided by screening or 
by effective use of fans. 

(2) Where food or griddles are exposed to the public 
or to dust or insects, they shall be protected by 
glass, or otherwise, on the front, top, and ends, 
and exposed only as much as may be necessary to 



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10:13 



PROPOSED RULES 



% 



> 



> 



permit handling and serving of the food 

(3) All griddles, warmers, spatulas, refrigerators, and 
other utensils and equipment shall be cleaned 
routinely and maintained in a sanitary manner. 

(4) Running water under pressure shall be provided. 
The water supply shall be approved and of a safe, 
sanitary quality. Provisions shall be made for 
heating water for the washing of utensils and 
equipment. At least a single vat sink, large 
enough in which to wash cooking utensils, pots, 
and pans, must be provided. At least one 
drainboard or counter top space must be provided. 

(5) Facilities shall be provided for employees* 
handwashing. These may consist of a pan, soap, 
and single-use towels. 

(6) Convenient and approved toilet facilities shall be 
provided for use by employees. Public toilet 
facilities provided on the grounds are acceptable if 
reasonably convenient, adequate, and kept clean 
Sewage shall be disposed of in an approved 
manner. 

(7) Potentially hazardous foods shall be refrigerated in 
accordance with Rule .2609 of this Section. All 
food shall be stored, handled, and displayed in 
accordance with Rule .2610(a) through (d) of this 
Section. Food service equipment shall be stored 
in accordance with Rule .2620 of this Section 

(8) Garbage and refuse shall be collected and stored 
in standard water-tight garbage cans provided with 
tightfitting lids or other approved containers or 
methods. Garbage and refuse shall be removed at 
least daily and disposed of in a sanitary manner. 
Waste water shall be so disposed of as not to 
create a nuisance. Each operator shall keep his 
immediate premises clean. 

(9) All food served shall be clean, wholesome, and 
free from adulteration. Potentially hazardous 
foods such as cream-filled pastries and pies, and 
salads such as potato, chicken, ham, crab, etc., 
shall not be served in a temporary food stand 
establishment . Hamburgers shall be obtained from 
an approved market or plant in patties separated 
by clean paper, or other wrapping material, and 
ready to cook. Wrapped sandwiches shall be 
obtained from an approved source. Poultry shall 
be prepared for cooking in an approved market or 
plant. Drinks served shall be limited to packaged, 
canned, or bottled drinks, packaged milk, coffee, 
or carbonated beverages from approved dispensing 
devices. 

(10) Food prepared by local groups shall be prepared 
in an approved kitchen, and such groups shall 
maintain a record of the type and origin of such 
foods. These foods shall be prepared, 
transported, and stored in a sanitary manner 
protected from contamination and spoilage. 

(11) No person who has a communicable or infectious 



disease that can be transmitted by foods, or who 
is a carrier of organisms that cause such a disease, 
or who has a boil, infected wound, or an acute 
respiratory infection with cough and nasal 
discharge, shall work in a food service 
establishment in any capacity in which there is a 
likelihood of such person contaminating food or 
food-contact surfaces, with disease-causing 
organisms or transmitting the illness to other 
persons. 

Statutory Authority G.S. 130A-248. 

.2636 REQUIREMENTS FOR TEMPORARY 
RESTAURANTS 

Temporary restaurants shall comply with all requirements 
for restaurants, as provided in .260 8 to .2633 of thi s 
S e ction, with th e following e xo e ptiono: 

(44 Floors. — Properly grad e d dirt floors oov e r e d with 
sawdust or s havings kept sprinkled, or otherwise 
treated to control dust, are acceptable. 

{2} Wall s and o e ilings. — T e mporary' construction io 
acc e ptable, — provid e d that flies are e ff e ctively 
excluded and dust is kept at a minimum. — Walls 
may bo of screening if the surrounding s are kept 
dust fr ee by sprinkling or other dust tr e atm e nt 
m e thods. 

(3) Toilet facilities. — Public toilet facilities provided 
ea — the grounds are — acceptable — if reasonably 
conv e ni e nt and kept oloan. 

Statutory Authority G.S. 130A-248. 

****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rule cited as 15A NCAC 20D 
.0233, .0234, .0236, .0241 - .0243, .0247- .0252. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 p.m. on 
October 19, 1995 at the Ground Floor Hearing Room, 
Archdale Building, 512 N. Salisbury St. , Raleigh, NC. 

Reason for Proposed Action: A majority of the proposed 
Rule changes 1 15 A NCAC 20D .0233, .0243 (2)(C), 
.0243(2)(D), .0249, .0250, .0251, .0252] are to comply 
with new federal regulations. The proposed change to Rule 
. 0236 would modify the certification criteria for out-of-state 
laboratories to allow the Division the ability to certify out- 
of-state laboratories in states that do not have drinking 
water certification programs in force. Other proposed Rule 
changes [15A NCAC 20D .0234, .0243(c)(1)(A), .0247] are 
to modify the criteria to better define some specific quality 
control requirements in the laboratories. The remaining 



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proposed Rule changes (15 A NCAC 20D .0241, .0242 
.0248) are to simply update adopted references in the Rule 
so that they are current with the Code of Federal 
Regulations (Safe Drinking Water Act) and the EPA 
certification criteria. 

Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Grady L. Balentine, Department of Justice, PO 
Box 629, Raleigh, NC 27602-0629. All written comments 
must be received by November 1 , 1995. Persons who wish 
to speak at the hearing should contact Mr. Balentine at 
(919) 733-4618. Persons who call in advance of the hearing 
will be given priority on the speaker's list. Oral 
presentation lengths may be limited depending on the 
number of people that wish to speak at the public hearing. 
Onlx persons who have made comments at a public hearing 
or who have submitted written comments will be allowed to 
speak at the Commission meeting. Comments made at the 
Commission meeting must either clarify previous comments 
or proposed changes from staff pursuant to comments made 
during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTERESTED AND 
POTENTIALLY AFFECTED PERSONS, GROUPS, 
BUSINESSES, ASSOCIATIONS, INSTITUTIONS OR 
AGENCIES MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND COMMENT 
PROCESS, WHETHER THEY SUPPORT OR OPPOSE ANY 
OR ALL PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE RULES AT 
THE COMMISSION MEETING IF THE CHANGES 
COMPLY WITH G.S. 150B-21.2(f). 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 20 - LABORATORY SERVICES 

SUBCHAPTER 20D - CERTIFICATION AND 
IMPROVEMENT 

SECTION .0200 - LABORATORY CERTIFICATION 

.0233 CERTIFICATION, CERTIFICATION 
RENEWAL AND FEES 

(a) The Department of Environment, Health, and Natural 
Resources shall grant certification for the test categories 
requested upon finding that a laboratory meets the minimum 
requirements set forth in this Section. 

(b) A laboratory may renew its certification every year by 
payment of the certification fee by December 1 of the 
preceding year. A laboratory which renews its certification 
shall continue to meet the minimum requirements of this 
Section in accordance with 15A NCAC 20D .0234. 



(c) The certificate and information pertaining to 
certification shall remain the property of the Department of 
Environment, Health, and Natural Resources and shall be 
surrendered upon decertification pursuant to Rule .0234 of 
this Section All certification information shall be available 
for public access pursuant to Chapter 132 of North Carolina 
General Statutes. 

(d) The certification fee shall be twenty dollars ($20.00) 
per analyte. The minimum and maximum fee per analyte 
group shall be as set out in G.S. 130A-326(7). The analyte 
groups are as follows: 

(1) inorganic chemistry; 

(2) organic chemistry I (synthetic organic 
chemicals); 

(3) organic chemistry II (volatile organic chemicals); 

(4) total and coliforms, fecal coliforms, 
heterotrophic plate count ; and 

(5) radiochemistry. 

The certification fee shall not be prorated nor refunded. 
Twenty percent shall be due at the time of the application. 

Statutory Authority G.S. 130A-315; 130-326. 

0234 CRITERIA AND PROCEDURES: DECERT./ 
DENIAL/DO WNGRADING 

(a) The Department of Environment, Health, and Natural 
Resources or its delegate may decertify, downgrade or deny 
laboratory certification if the laboratory: 

( 1 ) Failed to train or supervise employees in 
laboratory methodologies required by 15 A 
NCAC 18C .1500; 

(2) Failed to report analytical results of performance 
evaluation samples or compliance samples or 
maintain records as required by this Section and 
the Rules Governing Public Water Supplies in 
15A NCAC 18C .1500; 

(3) Failed to maintain facilities and equipment in 
accordance with the minimum requirements of 
this Section; 

(4) Failed to notify the certification evaluator within 
30 days of major changes such as personnel, 
equipment, or laboratory location; 

(5) Violated or aided and abetted in the violation of 
any provisions of the rules of this Section; or 

(6) Failed to correctly analyze on-site evaluation 
performance samples during the initial on-site 
evaluation. 

(b) A downgraded laboratory with provisional 
certification may continue to perform analyses. The 
provisional status shall continue for at least six months. At 
the end of the six months the laboratory certification shall 
be reinstated if the laboratory has made corrections and is 
in compliance with the minimum requirements for 
certification. If no corrections have been made the 
laboratory certification may be revoked. 

(c) The Department of Environment, Health, and Natural 
Resources or its delegate may decertify or deny laboratory 



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certification when a laboratory or its employees have done 
any of the following: 

(1) Knowingly made false statements on any 
documents associated with certification; 

(2) Falsified results of analysis; 

(3) Submitted performance evaluation samples used 
for certification determination to another 
laboratory for analysis; 

(4) Failed to employ approved laboratory 
methodology in the performance of the analyses 
required by 15A NCAC 18C .1500; 

(5) Failed to correctly analyze performance 
evaluation samples including United States EPA 
water study, double blind, blind, and on-site 
samples or report the results within the specified 
time in accordance with the requirements of 15 A 
NCAC 20D .0243 and .0251; 

(6) Failed to report analytical results of performance 
evaluation samples or compliance samples or 
maintain records as required by this Section and 
the Rules Governing Public Water Supplies in 
15A NCAC 18C; 

(7) Failed to satisfy the certification evaluator that 
the laboratory has corrected deviations identified 
during the on-site visit within 30 days; or 

(8) Violated or aided and abetted in the violation of 
any provisions of the rules of this Section. 

(d) The Department of Environment, Health, and Natural 
Resources or its delegate shall notify a laboratory of its 
intent to decertify, downgrade to provisional status or deny 
certification. The notice shall be in writing and include 
reasons for the decision and shall be delivered by certified 
mail. 

(e) This Rule shall not preclude informal conferences 
concerning a decision to decertify, downgrade to provisional 
status or deny certification. 

(f) If a laboratory is denied initial certification for failure 
to satisfy this Rule, the laboratory may request another 
evaluation which shall be scheduled between 15 days and 30 
days after the initial on-site evaluation. If the laboratory is 
denied certification during the second on-site evaluation, the 
laboratory shall satisfy the initial certification criteria as 
stated in Rule .0232 of this Section before another 
evaluation is scheduled. 

(g) The Department of Environment, Health, and Natural 
Resources or its delegate may decertify or deny laboratory 
certification if the laboratory has been decertified by another 
certifying agency for committing any of the items contained 
in Subparagraphs (c)(l)-(3) of this Rule. 

Statutory Authority G.S. 130A-315. 

.0236 CERTIFICATION OF OUT-OF-STATE 
LABS 

(a) An out-of-state laboratory shall meet all the following 
conditions to obtain North Carolina certification to perform 
analyses for compliance with 15A NCAC 18C .1500: 



(1) The laboratory shall be certified under a siwkr 
program administered by the state in which 
facility is located or muot be o e rt i fiod by the 
United States Environmental Protection Agency 
(EPA). If a state has no program for certifying 
drinking water laboratories, an on-site evaluation 
may be performed and certification granted by 
the North Carolina Drinking Water Certification 
Branch for the analysis of drinking water in the 
state of North Carolina. 

(2) The laboratory shall provide this office with its 
EPA performance evaluation data within 30 days 
of the receipt of those data; 

(3) An initial on-site inspection shall be conducted 
by one or more laboratory certification 
evaluators at the requesting laboratory's 
expense. The Department shall not be required 
to conduct follow-up inspections more than once 
per year. Follow-up inspections shall be 
conducted at the requesting laboratory's expense. 

(4) The laboratory shall pay fees as prescribed in 
Rule .0233 of this Section; and 

(5) The laboratory shall notify the North Carolina 
Department of Environment, Health, and 
Natural Resources within 30 days of any 
changes in its certification status pursuant to the 
actions of another agency. 

(b) The laboratory's failure to comply with any or all of 
the conditions in Paragraph (a) of this Rule will prevent the 
laboratory from obtaining certification in North Carolina or 
result in downgrading or decertification in North Carolina. 

Statutory Authority G.S. 130A-315. 

. 0241 CHEMISTRY METHODOLOGY 

Minimum equipment requirements and methodology for 
individual parameters of chemical analyses shall be in 
accordance with methods adopted in 15 A NCAC 1 8 C .150 8 , 
15A NCAC 1 8 C .1515, 15A NCAC 1 8 C .1522 and 15A 
NCAC 1 8 C .1513. 40 C.F.R. 141.23, 141.24, 141.30, 
141.40(n")(l 11. and 143.4(b) which is hereby incorporated 
by reference including any subsequent amendments and 
editions. A list of methods may be obtained from the 
Division of Laboratory Services. 

Statutory Authority G.S. 130A-315. 

.0242 CHEMISTRY SAMPLE COLLECTION, 
HANDLING, AND PRESERVATION 

(a) A written sampling protocol with specific sampling 
instructions shall be available to sample collectors and 
available for inspection by the certification officer. 

(b) The following handling and preservation requirements 
of samples shall apply: 

(1) Rejection of samples. The laboratory shall 
reject any samples taken for compliance 
purposes that do not meet the criteria in 



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PROPOSED RULES 



Subparagraphs (b)(2) - (b)(5) of this Rule, and 
shall notify the system or individual requesting 
the analyses. 

(2) Sample containers and preservation. The type of 
sample container and the required preservative 
for each inorganic a»d — organio — oh e mioal 
contaminant shall meet the criteria of Tabl e d IV 
4 — and — tV-5 — m — the — EPA — "Manual — f-e* — the 
Certification of Laboratories Analyzing Drinking 
Watet^ adopted in 40 C.F.R. 141.23fk)(5), and 
141.86(b)(2) which is hereby incorporated by 
reference including any subsequent amendments 
and editions. The type of sample container and 
required preservative for organic contaminants 
shall meet the criteria in the approved methods 
adopted in 40 C.F.R. 141.24, 141.30 and 
141.40(n)(ll) which is hereby incorporated by_ 
reference including any subsequent amendments 
and editions. A copy is available for inspection 
at the Department of Environment, Health, and 
Natural Resources, Division of Laboratory 
Services, 306 North Wilmington Street, Raleigh, 
North Carolina. Non profit organizationo or 
govornmont agencies may obtain a copy by 
contacting the EPA Drinking Water Hotline at 
800 126 ' 1791. — Oth e r organizationo may obtain 
a oopy from the National T e chnioal Informati -eft 
Service at 800 336 4 700 for thirty five dollars 
($35.00). Copies of 40 C.F.R. 141-143 may be 
obtained by contacting the EPA Drinking Water 
Hotline at 800-426-4791 at no charge. 

(3) Maximum Holding Times. Samples shall be 
analyzed within the maximum holding times 
listed in Tables IV 4 and IV 5 in th e EPA 
"Manual for th e C e rtification of Laboratori e s 
Analyzing — Drinking — Water", 40 C.F.R. 
123fk)(5) and 141. 86(b)(2) and those listed in 
the methods adopted in 40 C.F.R. 141.24, 
141.30 and 141.40(n) which is hereby 
incorporated by reference including any 
subsequent amendments and editions. A copy is 
available for inspection at the Department of 
Environment, Health, and Natural Resources, 
Division of Laboratory Services, 306 North 
Wilmington Street, Raleigh, North Carolina. 
Nonprofit organizationo or gov e rnm e nt ag e nci e s 
may obtain a oopy by contacting — th e EPA 
Drinking Water Hotline at 8 00 4 26 4 791 . Other 
organizations — may — obtain — a copy — from the 
National T e ohnioal Information S e rvio e at 8 00 
336 4700 for thirty five dollaro ($35.00). 
Copies of 40 C.F.R. 141-143 may be obtained 
by contacting the EPA Drinking Water Hotline 
at 800-426-4791 at no charge. 

(4) Sample collection and transport. The laboratory 
shall accept only those samples which have been 
collected, identified, and transferred to the 



laboratory in accordance with the rules of this 
Section and 15A NCAC 18C .1500. 
(5) Sample report form. The sample report form 
shall contain the location; date; and time of 
collection; collector's name; preservative added; 
and any other special remarks concerning the 
sample. Sample report forms shall be approved 
by the North Carolina Public Water Supply 
Section. Indelible ink shall be used to complete 
the form. 

Statutory Authority G.S. 130A-315. 

.0243 CHEMISTRY QUALITY ASSURANCE 

(a) The following general requirements for chemistry 
quality assurance (QA) shall be met: 

( 1 ) All quality control information shall be available 
for inspection by the certification officer; 

(2) A manual of analytical methods and the 
laboratory's QA plan shall be available to the 
analysts; 

(3) Class S weights or higher quality weights shall 
be available to make periodic checks on the 
accuracy of the balances. Checks shall be 
within range of the manufacturer's guidelines. 
A record of these checks shall be available for 
inspection. The specific checks and their 
frequency are to be as prescribed in the 
laboratory's QA plan or the laboratory's 
operations manual. These checks shall be 
performed at least once a month. 

(4) Color standards or their equivalent, such as 
built-in internal standards, shall be available to 
verify wavelength settings on 
spectrophotometers. These checks shall be 
within the manufacturer's tolerance limits. A 
record of the checks shall be available for 
inspection. The specific checks and their 
frequency shall be as prescribed in the 
laboratory's QA plan or the laboratory's 
operations manual. These checks shall be 
performed at least every six months. 

(b) The laboratory shall analyze performance samples as 
follows: 

(1) United States Environmental Protection Agency 
performance samples shall be analyzed semi- 
annually. Results shall be within control limits 
established by EPA for each analyte for which 
the laboratory is or wishes to be certified. 

(2) Double blind and blind samples shall be 
analyzed when submitted to a certified 
laboratory and results shall be within established 
control limits; these data shall be of equal 
weight to the EPA performance sample data and 
on site quality control sample data in 
determining the laboratory's certification status. 

(3) On-site quality control samples shall be analyzed 



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PROPOSED RULES 



* 



when presented to the laboratory by the 
certification evaluator and results shall be within 
established control limits. These data shall be of 
equal weight to the EPA performance evaluation 
sample data and the double blind sample data in 
determining the laboratory's certification status. 

(4) A laboratory shall have correctly analyzed two 
out of the last three performance samples for 
each analyte for which it is certified. In the 
event that a laboratory is decertified for failing 
to correctly analyze two out of the last three 
performance samples, the laboratory shall 
correctly analyze two consecutive performance 
samples to have their certification reinstated. 
The performance samples shall be analyzed no 
less than 30 days apart. A laboratory with less 
than three performance samples shall have 
successfully analyzed a minimum of two 
performance samples before their certification 
status may be determined. 

(5) Unacceptable performance on any of the samples 
in Paragraph (b) of this Rule shall be corrected 
and explained in writing within 30 days and 
submitted to the certification evaluator. 

(c) The minimum daily quality control (QC) for chemistry 
shall be as follows: 

(1) Inorganic Contaminants: 

(A) At the beginning of each day that samples are 
to be analyzed, a standard curve composed of 
at least a reagent blank and three standards 
covering the sample concentration range shall 
be prepared. A standard curve is not required 
on each day of analysis for samples analyzed 
for Nitrate by manual cadmium reduction or 
for Cyanide. The standard curve shall be 
verified each day by analyzing a calibration 
standard and a reagent blank. The calibration 
standard must be within _± K) percent of its 
true value in order to use the standard curve. 
If it is not within 10 percent of the true value, 
a new standard curve shall be prepared. 

(B) The laboratory shall analyze a QC sample 
(EPA QC sample or equivalent) at the 
beginning of the sample run, at the end of the 
sample run, and every 20 samples, with 
recoveries not to exceed ± 10 percent of the 
true concentration. The source of this QC 
sample shall be different from the source used 
for the calibration standards in Part (c)(1)(A) 
of this Rule. 

(C) The laboratory shall run an additional standard 
or QC check at the laboratory's lowest 
detectable limit for the particular analyte. The 
laboratory shall not report a value lower than 
the lowest standard or QC check analyzed. 

(D) The laboratory shall add a known spike to a 
minimum of 10 percent of the routine samples 



(except when the method specifies a different 
percentage, i.e. furnace methods) to determine 
if the entire analytical system is in control. 
The spike concentration shall not be 
substantially less than the background 
concentration of the sample selected for 
spiking. The spike recoveries shall not exceed 
± 10 percent of the true value. 

(E) All compliance samples analyzed by graphite 
furnace shall be spiked to determine absence of 
matrix interferences with recoveries ± 10 
percent of the true value of the spike 
concentration. 

(F) The laboratory shall run a duplicate sample 
every 10 samples with duplicate values within 
± 10 percent of each other. 

(G) Precision and accuracy data may be computed 
from the analyses of check samples of known 
value used routinely in each analytical 
procedure. This data shall be available for 
inspection by the laboratory evaluator. 

(2) Organic Contaminants: 

(A) Quality control specified in the approved 
methods referenced in Rule .0241 of this 
Section shall be followed. 

(B) Analysis for regulated volatile organic 
chemicals under 15 A NCAC 18C .1515 shall 
only be conducted by laboratories that have 
received conditional approval by EPA or the 
Department according to 40 C.F.R. 
141.24(g)(10) and (11) which is hereby 
incorporated by reference including any 
subsequent amendments and editions. A copy 
is available for inspection at the Department of 
Environment, Health, and Natural Resources, 
Division of Laboratory Services, 306 North 
Wilmington Street, Raleigh, North Carolina. 
Copies of 40 C.F.R. 141-143 may be obtained 
by contacting the EPA Drinking Water Hotline 
at 800-426-4791 at no charge. 

(C) Analysis for unregulated volatile organic 
chemicals under 15A NCAC 18C .1516 shall 
only be conducted by laboratories approved 
under Part (c)(2)(B) of this Rule. In addition 
to the requirements of Part (c)(2)(B) of this 
Rule, each laboratory analyzing for EDB and 
DBCP shall achieve a method detection limit 
for EDB of 0.00001 mg/1 and DBCP of 
0.0002 mg/1, according to the procedures in 
Appendix B of 40 C.F.R. Part 136 which is 
hereby incorporated by reference including any 
subsequent amendments and editions. A copy 
may be obtained at no charge by contacting the 
Department of Environment, Health, and 
Natural Resources, Division of Laboratory 
Services, 306 North Wilmington Street, 
Raleigh, North Carolina. 



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(D) The laboratory shall achieve the method 
detection limits as listed in 40 CFR 
141.24(f)(18) according to the procedures in 
Appendix B of 40 CFR Part 136 which is 
hereby incorporated by reference including any 
subsequent amendments and editions. A copy 
may be obtained at no charge by contacting the 
Department of Environment. Health, and 
Natural Resources, Division of Laboratory 
Services, 306 North Wilmington Street, 
Raleigh, North Carolina. 

Statutory Authority G.S. 130A-315. 

.0247 MICROBIOLOGY EQUIPMENT/ 

SUPPLIES/ ASSOCIATED QUALITY 
CONTROL 

(a) A laboratory seeking certification for microbiological 
analyses of water shall have available, or have access to. the 
items required for the total coliform and fecal coliform 
procedures as listed in the EPA "Manual for the 
Certification of Laboratories Analyzing Drinking Water". 
Chapter 5, Section 3, Laboratory Equipment and Supplies 
which is hereby incorporated by reference including any 
subsequent amendments and editions, except that Sections 
3.2.2, 3.5.4 and 3.11.5 3.11.6 are not incorporated by 
reference. A copy is available for inspection at the 
Department of Environment, Health, and Natural Resources, 
Division of Laboratory Services, 306 North Wilmington 
Street, Raleigh, North Carolina. Nonprofit organizations or 
government agencies may obtain a copy by contacting the 
EPA Drinking Water Hotline at 800-426-4791. Other 
organizations may obtain a copy from the National 
Technical Information Service at 800-336-4700 for thirty 
five dollars ($35.00). 

(b) In addition to the items and procedures incorporated 
by reference in Paragraph (a) of this Rule the laboratory 
shall have available the items and follow the procedures 
listed in this Paragraph: 

(1) Balance. Calibrate the balance monthly using 
class S or S-l reference weights. Check the 
balance with a minimum of three traceable 
weights which bracket the laboratory weighing 
needs. 

(2) Autoclave. The autoclave shall be checked at 
least weekly with a maximum registering 
thermometer. Heat sensitive tape or spore strips 
or ampules may be used during each autoclave 
cycle and results recorded. 

(3) Fecal Coliform Waterbath: 

(A) A temperature of 44.5°C ± 0.2°C shall be 
maintained. 

(B) A thermometer graduated in 0. 1°C increments 
shall be used to monitor temperature. 

(C) The water level shall be sufficient to reach the 
upper level of media in tubes. 

(D) On days used, record temperature at least 



twice per day with readings separated by at 
least four hours. 

Statutory Authority G. S. 130A-315. 

.0248 MICROBIOLOGY GENERAL 
LABORATORY PRACTICES 

(a) The general laboratory practices for microbiological 
analyses shall be in accordance with those listed in the EPA 
"Manual for the Certification of Laboratories Analyzing 
Drinking Water", Chapter 5, Section 4, General Laboratory 
Practices, which is hereby incorporated by reference 
including any subsequent amendments and editions, except 
that Sections 4.7.1 — through — 4r9 4.6.2-4.6. 11 are not 
incorporated by reference. A copy is available for 
inspection at the Department of Environment, Health, and 
Natural Resources, Division of Laboratory Services, 306 
North Wilmington Street, Raleigh, North Carolina. 
Nonprofit organizations or government agencies may obtain 
a copy by contacting the EPA Drinking Water Hotline at 
800-426-4791. Other organizations may obtain a copy from 
the National Technical Information Service at 800-336-4700 
for $35.00. 

(b) In addition, the following laboratory practices shall be 
followed: 

(4-) M e dia — G e n e ral R e quir e m e nts: 

Ch e ok e aoh lot of medium with positiv e and 
negative culture control. 

(1) (2)Membrane Filter Media: 

(A) Use m-Endo broth or agar or LES Endo broth 
or agar in the single step or enrichment 
techniques. Ensure that ethanol used in 
rehydration procedure is not denatured. 
Prepare medium in a sterile flask and use a 
boiling water bath or, if constantly attended, a 
hot plate with a stir bar to bring medium to the 
boiling point. Do not boil medium. Final pH 
shall be 7.2 ± 0.2. 

(2) (3-)Multiple Tube Fermentation (MTF) Media: 

(A) Use double strength lauryl sulfate broth or 
lactose broth in the presumptive test and single 
strength brilliant green lactose bile (BGLB) 
broth in the confirmed test. Autoclave media 
at 121 °C for 12 minutes. Final pH shall be 
6.8 ± 0.2 or 7.2 ± 0.2 for BGLB broth. 

(B) If MTF media are refrigerated after 
sterilization, incubate overnight at 35 °C ± 
0.5°C before use. Discard tubes showing 
growth or bubbles. Use MTF media prepared 
in tubes with loose fitting closures within one 
week. Store broth media in screw cap tubes 
or bottles no longer than three months, 
provided media are stored in the dark. 
Discard media if evaporation exceeds 10 
percent of original volume. 

(C) LES Endo agar shall be used for the completed 
test. Refrigerate medium and use within two 



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weeks. 
£3) (4)Clark's Total Coliform Medium: 

(A) Autoclave for 12 minutes at 121 °C. Allow 
space between bottles. 

(B) Final pH shall be 6.8 ± 0.2. 

(C) Store prepared medium in screw capped 
culture bottle no longer than three months; 
discard if evaporation exceeds 10 percent of 
original volume. 

(4) (5)EC Medium (for fecal coliforms): 

(A) Autoclave for 12 minutes at 121 °C. 

(B) Examine tubes after sterilization to insure that 
inverted inner tubes are free of air bubbles and 
that the vials are at least partially covered with 
medium. 

(C) Incubate refrigerated sterilized medium 
overnight at 35 °C ± 0.5 °C; discard tubes that 
show growth or bubbles. 

(D) Store prepared medium in screw cap tubes. 

(E) Final pH shall be 6.9 ± 0.2. 

£5} (6)EC + MUG Medium (for detection of fecal 
coliforms-E 1 . coli) coli): 

(A) Autoclave medium at 121 °C (gas tubes shall 
not be used) used). 

(B) Final pH shall be 6.9 ± 0r3 0,2, 

(C) Store prepared medium in screw cap tubes no 
longer than three months. 

£6} f?)MMO-MUG Test Medium (for Total 
Coliform and E. coli): 

(A) The laboratory shall not prepare this medium 
from basic ingredients. 

(B) Each lot purchased shall be tested for 
performance by inoculation with three control 
bacteria: Escherichia coli, a total coliform 
other than E. coli (e.g., Klebsiella 
pneumoniae) and a non-coliform (e.g. 
Pseudomonas aeruginosa). 

These control organisms can be stock cultures 
or commercially available discs impregnated 
with the organism. Incubate these controls at 
35°C ± 0.5°C for 24 hours, and read and 
record result. 

(C) Do not autoclave. 

(7) f8)Fecal Coliform Membrane Filter Medium 

(for enumeration of fecal coliform in source 
water). 

Rehydrate medium in reagent water containing 

10 ml of 1 percent rosolic acid in 2N NaOH. 

Bring it to the boiling point; do not autoclave. 

Autoclave for 12 minutes at 121 °C. 

Final pH shall be 7.4 ± 0.2. 

Refrigerate unused prepared medium; discard 

after 96 hours. 
£8} (^Heterotrophic Plate Count (HPC) Medium: 

Autoclave HPC agar at 121 °C for 15 minutes. 

Final pH shall be 7.0 ± 0.2. 

Temper melted agar at 44°-46°C before 



(A) 



(B) 
(C) 
(D) 



(A) 
(B) 
(Q 



pouring. 
(D) Hold melted agar no longer than four hours. 
Do not melt sterile agar medium more than 
once. 

Statutory Authority G.S. 130A-315. 

.0249 MICROBIOLOGY METHODOLOGY 

(a) Minimum equipment requirements and methodology 
for microbiological analyses shall be in accordance with the 
methods adopted in 40 CFR 141.21(0 which is hereby 
incorporated by reference including any subsequent 
amendments and editions, except that Nutrient Agar plus 
MUG in 40 CFR 141.21(f)(6)(ll) is not incorporated by 
reference. A copy is available for inspection at the 
Department of Environment, Health, and Natural Resources, 
Division of Laboratory Services, 306 North Wilmington 
Street, Raleigh, North Carolina. Copies of 40 CFR 141-143 
may be obtained by contacting the EPA Drinking Water 
Hotline at 800-426-4791 at no charge. 

(b) For total coliform analysis the laboratory shall 
maintain certification for one or more of the approved 
methods as specified in this Paragraph: 

(1) The Membrane Filter Procedure (MF) may be 
used for drinking water when the sample is free 
from interference (e.g. turbidity and 
particulates). A laboratory must be approved 
for a second analytical procedure when MF is 
used. 

(2) The Multiple Tube Fermentation (MTF) 
procedure may be used for analyzing drinking 
water that contains particulates or other 
interfering substances and may be used as the 
back up or the sole approved method. 

(3) The MMO MUG(Colilort) proooduro ONPG- 
MUG Test and the Colisure Test may be used 
for analyzing drinking water that contains 
particulates. A laboratory muot be approv e d for 
a s e oond analytical proc e dure when MMO MUG 
is used. These methods may be used as the 
back up or the sole approved method. 

(c) A laboratory shall maintain certification for one of the 
approved methods for fecal coliform analysis. 

(d) For all procedures in Paragraph (a) of this Rule 
incubate inoculated culture within 30 minutes of inoculation. 

Statutory Authority G.S. 130A-315. 

.0250 MICROBIOLOGY SAMPLE 
COLLECTION, HANDLING 
AND PRESERVATION 

(a) For sample collecting, handling, and preservation, 
there shall be strict adherence to correct sampling 
procedures, complete identification of the sample, and 
prompt transfer of the sample to the laboratory as described 
in "Standard Methods for the Examination of Water and 
Wastewater", American Water Works Association, Part 



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1175 



PROPOSED RULES 



9060, which is incorporated by reference including any 
subsequent amendments and editions. A copy is available 
for inspection at the Department of Environment, Health, 
and Natural Resources, Division of Laboratory Services, 
306 North Wilmington Street, Raleigh, North Carolina- 
Copies may be obtained from the American Water Works 
Association, Customer Service, 6666 West Quincy Avenue, 
Denver, Colorado 80235 at the cost of one hundred twenty 
dollars ($120.00). 

(b) Minimum sample frequency and sample location shall 
be that specified in 15 A NCAC 18C .1534. 

(c) The collector shall be trained in sampling procedures 
or written instructions shall be provided by the laboratory. 

(d) The water shall be sampled after maintaining a steady 
flow for two or three minutes to clear service line. The tap 
shall be free of aerator, strainer, hose attachment, or water 
purification devices. 

(e) The sample volume shall be a minimum of 100 ml. 
The sample bottle must be filled only to the shoulder to 
provide space for mixing. 

(f) The sample report form shall be completed 
immediately after collection with location, date and time of 
collection, chlorine residual, collector's name, and remarks. 
The report shall be on a form approved by the North 
Carolina Public Water Supply Section. 

(g) Date and time of sample arrival shall be added to the 
sample report form when the sample is received in the 
laboratory. 

(h) Samples shall be received and analyzed within 4* 30 
hours of time of collection. Samples that are not analyzed 
within 48 30 hours must be rejected and a new sample must 
be collected. 



microbiological sample collections, the sample collector 
shall complete a sample report form immediately after each 
sample is taken. The information on the form includes 
sample identification number, sample collector's name, time 
and date of collection, arrival time and date in the 
laboratory and other information as required. 

(b) Results of microbiological analyses shall be calculated 
and entered on the sample report form to be forwarded to 
the Public Water Supply Section of the Division of 
Environmental Health. A careful check shall be made to 
verify that each result was entered correctly from the bench 
sheet and initialed by the analyst. 

(c) A copy of the microbiological sample report form 
shall be retained by the laboratory for throe year s five 
years. If results are entered into a computer storage system, 
a printout of the data shall be returned to the laboratory for 
verification with bench sheets. 

Statutory Authority G.S. 130A-315. 

****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to repeal rules cited as 15A NCAC 21F 
.0801 - .0802 and .0804. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 p.m. on 
October 19, 1995 at the Ground Floor Hearing Room, 
Archdale Building, Raleigh, NC. 



Statutory Authority G.S. 130A-315. 

.0251 MICROBIOLOGY QUALITY 
ASSURANCE 

Requirements for quality assurance are as follows: 

(1) A written quality assurance (QA) plan shall be 
available for review. 

(2) Records on analytical quality control tests on 
media and equipment shall be prepared and 
retained for throo yeoro five years. 

(3) A performance level of 75 percent shall be 
maintained for each method for which a laboratory 
is, or wishes to be certified. This 75 percent 
average shall be calculated from the 10 most 
recent performance sample data points from water 
performance studies, double blind, blind and on- 
site samples. 

(4) For other quality control requirements refer to 
Rules .0247 and .0248 of this Section. 

Statutory Authority G.S. 130A-315. 

.0252 MICROBIOLOGY DATA 

(a) Where the laboratory has the responsibility for 



Reason for Proposed Action: North Carolina Children's 
Special Health Services will eliminate a special provision 
which allows adopted children with special needs to be 
counted as a family of one for purposes of determining 
financial eligibility for program services in order to bring 
the rule into compliance with 15 A NCAC 24A .0200. 

Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Grady L. Balentine, Department of Justice, PO 
Box 629, Raleigh, NC 27602-0629. All written comments 
must be received by November 1 , 1995. Persons who wish 
to speak at the hearing should contact Mr. Balentine at 
(919) 733-4618. Persons who call in advance of the hearing 
will be given priority on the speaker's list. Oral 
presentation lengths may be limited depending on the 
number of people that wish to speak at the public hearing. 
Only persons who have made comments at a public hearing 
or who have submitted written comments will be allowed to 
speak at the Commission meeting. Comments made at the 
Commission meeting must either clarify previous comments 
or proposed changes from staff pursuant to comments made 
during the public hearing process. 



1176 



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10:13 



PROPOSED RULES 



IT IS VERY IMPORTANT THAT ALL INTERESTED AND 
POTENTIALLY AFFECTED PERSONS, GROUPS, 
BUSINESSES, ASSOCIATIONS, INSTITUTIONS OR 
AGENCIES MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND COMMENT 
PROCESS, WHETHER THEY SUPPORT OR OPPOSE ANY 
OR ALL PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE RULES AT 
THE COMMISSION MEETING IF THE CHANGES 
COMPLY WITH G.S. 150B-2 1.2(f). 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 21 - HEALTH: PERSONAL HEALTH 



AFTER ADOPTION 

(a) Application for post adoption oov e rago ohall bo made 
on a form provid e d by th e D e partment by th e — ag e ncy 
having logal respon s ibil i ty, in the case of a state or private 
agency placomont, or by the adoptive parents, in the case of 
an independent plaoomont. — Th e application must b e r e ooivod 
by Childr e n's Sp e cial H e alth S e rvio e s prior to th e final 
order of adoption. 

(b) Applications for state agency placed children shall bo 
submitt e d — te — th e North — Carolina — Adoption — R e oouro e 
Exchang e , — Division of Social — Servio e o, — D e partm e nt of 
Human Resources, for forwarding to Children's Special 

Health — Services. Applications — from private — adoption 

ag e noi e s and for ohildr e n adopted ind e p e ndently ohall be 
submitt e d dir e otly to th e m e dical dir e ctor of Children's 
Special Health Service s . 



SUBCHAPTER 21F - CHILDREN'S SPECIAL 

HEALTH SERVICES: CHILDREN AND 

YOUTH SECTION 



Statutory Authority G.S. 130A-124. 



****************** 



SECTION .0800 - ADOPTION 

.0801 GENERAL PROVISION 

(a) — If th e r e quirem e nts of this Section are mot, a ohild 
who has boon legally adopted and haa no natural parent with 
logal responsibility for the child, shall, after the final order 
of adoption, be oonoidorod a family of on e und e r 15A 
NCAC 24 A .0201(0) for purpos e s of det e rmining finanoial 
eligibility for program support. 

(b) Authorization and payment for services shall bo made 
pursuant to S e otion .0500 of this Subohaptor and 15A 
NCAC 24A .0302 and .0303. 

(c) After tho adopt i on is completed, the agency handling 
the adoption shall inform the program of the following! 

(4-) tho ohild's n e w name and address; and 



(2) tho adoptiv e par e nts' name and addr e ss. 



If tho child wa s placed independently, tho adoptive parents 
shall provide this information to tho program. 

Statutory Authority G.S. 130A-124. 



Notice is hereby given in accordance with G.S. 
I50B-21.2 that the EHNR - Commission for Health 
Services intends to amend rules cited as 15A NCAC 21F 
.1101 - .1103 and .1105. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 p.m. on 
October 19, 1995 at the Ground Floor Hearing Room, 
Archdale Building, 512 N. Salisbury St. , Raleigh, NC. 

Reason for Proposed Action: Changes are proposed to the 
rules for the North Carolina Hemophilia Assistance Plan to 
enable coverage of patients who cannot use home therapy 
due to the nature of their bleeding disorder and venous 
status, to update the names of two medical centers, and to 
broaden the scope of covered services. Currently the 
Hemophilia Assistance Program restricts coverage to 
patients on home therapy and limits the type of care 
available. 



.0802 REQUIREMENTS FOR THE 
ADOPTIVE CHILD 

To bo eligibl e for program support, th e ohild must m ee t 
tho following requirements: 

fl-) Tho child must have a program supported medical 

cond i tion as provid e d in 15A NCAC 21F .0303 
whioh i s docum e nt e d by a physic i an rost e r e d by 
tho program to bo existing prior to th e final order 
of adoption; and 

(2) Th e ohild must moot the residonoy r e quirements of 

15A NCAC 24A .0201(b)(1). 



Statutory Authority G.S. 130A-124. 

.0804 APPLICATION FOR COVERAGE 



Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Grady L. Balentine, Department of Justice, PO 
Box 629, Raleigh, NC 27602-0629. All written comments 
must be received by November 1 , 1995. Persons who wish 
to speak at the hearing should contact Mr. Balentine at 
(919) 733-4618. Persons who call in advance of the hearing 
will be given priority on the speaker's list. Oral 
presentation lengths may be limited depending on the 
number of people that wish to speak at the public hearing. 
Only persons who have made comments at a public hearing 
or who have submitted written comments will be allowed to 
speak at the Commission meeting. Comments made at the 
Commission meeting must either clarify previous comments 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1177 



PROPOSED RULES 



or proposed changes from staff pursuant to comments made 
during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTERESTED AND 
POTENTIALLY AFFECTED PERSONS, GROUPS, 
BUSINESSES, ASSOCIATIONS, INSTITUTIONS OR 
AGENCIES MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND COMMENT 
PROCESS, WHETHER THEY SUPPORT OR OPPOSE ANY 
OR ALL PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE RULES AT 
THE COMMISSION MEETING IF THE CHANGES 
COMPLY WITH G.S. 150B-2 1.2(f). 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

CHAPTER 21 - HEALTH: PERSONAL HEALTH 

SUBCHAPTER 21F - CHILDREN'S SPECIAL 

HEALTH SERVICES: CHILDREN AND 

YOUTH SECTION 

SECTION .1100 - NORTH CAROLINA 
HEMOPHILIA ASSISTANCE PLAN 

.1101 GENERAL 

The North Carolina Hemophilia Assistance Plan (NCHAP) 
is administered by Children's Special Health Services with 
funds appropriated by the North Carolina General Assembly 
to assist individuals who requir e continuing tr e atment with 
blood derivativ e s or manufactur e d pharmac e utical produots 
te — avoid — crippling — »f — other — of foots — associated — with 
hemophilia with hemophilia and congenital bleeding 
disorders. 



.1103 ELIGD3ILITY 

To be eligible for assistance under NCHAP, an individual 
must meet the following requirements: 

(1) The individual must be a resident of North 
Carolina. For the purposes of this Rule, in order 
to be a resident of North Carolina, a person must 
not only live in the State but also have the 
intention of making his permanent home in this 
State to which, whenever absent, he intends to 
return; 

(2) The individual must be diagnosed as having 
hemophilia on a congenital basis; or a congenital 
bleeding disorder: 

(3) The individual must b e r e gist e r e d oo a homo 
th e rapy pati e nt of seek assistance in funding care 
from one of the institutions receiving NCHAP 
funds funds, oxcopt that this requirement ohall not 
apply — wh e n — s e rvio e s — &fe — provid e d — under 
Subparagraph — (a)(2) — of Rul e — .1105 — of this 
Subchapter. 

Statutory Authority G.S. 130A-124. 

.1105 SERVICES 

(a) The following services shall be provided to patients 
eligible for assistance under NCHAP: 

(1) provision of Faotor VIII and Faotor IX blood 
derivatives replacement products , and 

(2) provision of dental oaro. — diagnostic studios, 

drug s , physical therapy, psyohiatrio &f 

psychosocial car e , prosth e tics or orthotics other 
services related to hemophilia and its sequelae. 
and cost of transportation in obtaining this care. 

fb) The individual per patient allocation for services may 
not exceed the sum of three thousand seven hundred fifty 
dollars ($3,750) per state fiscal year. 



Statutory Authority G.S. 130A-124. 



Statutory Authority G.S. BOA- 124. 



. 1 102 ALLOCATION OF FUNDS 

(a) NCHAP funds shall be allocated to the following 
institutions based upon number of eligible patients in tho 
homo therapy programs of each institution that were seen at 
the institution during the previous calendar year : 

(1) North Carolina M e morial Hospital; University of 
North Carolina Hospitals; 

(2) North Carolina Baptist Hospital; 

(3) Duke University Medical Center; 

(4) Eastern Carolina University Medical Center; and 

(5) Charlotte Memorial Hospital. Carol inas Medical 
Center. 

(b) The institutions listed in Paragraph (a) of this Rule 
shall use NCHAP funds to purchase services for individuals 
in accordance with the rules of this Section. 

Statutory Authority G.S. 130A-124. 



Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rule cited as 15 A NCAC 24A 
.0102, .0202 - .0204 and .0301. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 1:30 p.m. on 
October 19, 1995 at the Ground Floor Hearing Room, 
Archdale Building, 512 N Salisbury St. , Raleigh, NC. 

Reason for Proposed Action: 

ISA /VC4C 24 A .0102 - This amendment is proposed in 
order to delete the Tuberculosis Program from the list of 
payment programs and to add the HTV Medications Program 
and the Adult Cystic Fibrosis Program to the list of payment 



1178 



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October 2, 1995 



10:13 



PROPOSED RULES 



programs. 

15A NCAC 24A .0202 - During FY95, the demand for funds 
in the Purchase of Care component of Children 's Special 
Health Services (CSHS) exceeded the budget. CSHS has 
chosen to address this problem by changing financial 
eligibility through the use of Medicaid financial eligibility 
standards. This will create a uniform public policy with 
regard to eligibility determination while allowing CSHS to 
expand coverage of services not now provided by other 
agencies. Children who were offered a special CSHS post 
adoption coverage provision and adult patients with Cystic 
Fibrosis would be eligible to remain on CSHS without 
Medicaid coverage if they continue to qualify financially 
according to the federal poverty level. 
15 A NCAC 24 A .0203 - This amendment will improve 
consistency by assuring that SSI income is counted toward 
gross income, as are all other sources of income. 
ISA NCAC 24 A .0204 - This amendment is to clarify that it 
only pertains to adopted children who were approved for 
Children 's Special Health Services (CSHS) post-adoption 
coverage prior to January 1, 1996. Effective with that date, 
the special post-adoption coverage will be eliminated, except 
for those already approved, by the deletion of 15 A NCAC 
21F .0800. 

15 A NCAC 24A .0301 - This Rule is proposed for 
amendment in order to clarify that documentation of income 
is not required for the Children 's Special Health Services 
program since financial eligibility will be based on Medicaid 
eligibility pursuant to the proposed change to 15A NCAC 
24A .0202. 

Comment Procedures: All persons interested in these 
matters are invited to attend the public hearing. Written 
comments may be presented at the public hearing or 
submitted to Grady L Balentine, Department of Justice, PO 
Box 629, Raleigh, NC 27602-0629. All written comments 
must be received by November 1, 1995. Persons who wish 
to speak at the hearing should contact Mr. Balentine at 
(919) 733-4618. Persons who call in advance of the hearing 
will be given priority on the speaker's list. Oral 
presentation lengths may be limited depending on the 
number of people that wish to speak at the public hearing. 
Only persons who have made comments at a public hearing 
or who have submitted written comments will be allowed to 
speak at the Commission meeting. Comments made at the 
Commission meeting must either clarify previous comments 
or proposed changes from staff pursuant to comments made 
during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTERESTED AND 
POTENTIALLY AFFECTED PERSONS, GROUPS, 
BUSINESSES, ASSOCIATIONS, INSTITUTIONS OR 
AGENCIES MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND COMMENT 
PROCESS, WHETHER THEY SUPPORT OR OPPOSE ANY 
OR ALL PROVISIONS OF THE PROPOSED RULES. THE 



COMMISSION MAY MAKE CHANGES TO THE RULES AT 
THE COMMISSION MEETING IF THE CHANGES 
COMPLY WITH G.S. 150B-21.2(f). 

Fiscal Note: Rules ISA NCAC 24A .0202 - .0203 affect the 
expenditure or distribution of State funds subject to the 
Executive Budget Act, Article 1 of Chapter 143. 

Fiscal Note: Rules 15 A NCAC 24A .0102, .0204 and .0301 
do not affect the expenditures or revenues of local 
government or state funds. 

CHAPTER 24 - GENERAL PROCEDURES 
FOR PUBLIC HEALTH PROGRAMS 

SUBCHAPTER 24A - PAYMENT PROGRAMS 

SECTION .0100 - GENERAL PROVISIONS 

0102 DEFINITIONS 

The following definitions shall apply throughout this 
Subchapter: 

(1) "Benefits" means the purchase of medical or 
dental care on a fee-for-service basis. "Benefits" 
also means the purchase of medical or dental 
appliances. 

(2) "Department" means the Department of 
Environment, Health, and Natural Resources, or 
its contractor. 

(3) "Inpatient services" means medical or dental care 
administered to a person who has been admitted to 
a hospital. 

(4) "Outpatient services" means medical or dental care 
administered without admission to a hospital. 

(5) "Payment programs" refers to Department 
program activities involving the purchase of 
medical or dental care on a fee-for-service basis 
or the purchase of medical or dental appliances, 
either through direct payment or through contracts 
with local health departments, other agencies, or 
private institutions. These activities are 
administered in the following: 

(a) Children's Special Health Services, 

(b) Cancer Program, 

(c) Kidney Program, 

(d) Maternal and Child Health Program, 

(e) Migrant Health Program, 

(f) School Health Fund, 

(g) Sickle Cell Program, a«d 

(h) Tub e rculosis — Program. HIV Medications 

Program, and 
(i) Adult Cystic Fibrosis Program. 

(6) "Provider" means a person or entity who 
administers medical or dental care or furnishes 
medical or dental appliances under any of the 
payment programs. 

(7) "Authorization" means agreement by a payment 



10:13 



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1179 



PROPOSED RULES 



program to pay for a medical or dental service or 
appliance provided all requirements in 15A NCAC 
24 A are met. 

Statutory Authority G.S. 130A-5(3); 130A-124; 130A-127; 
130A-129; 130A-177; 130A-205. 

.0202 DETERMINATION OF FINANCIAL 
ELIGIBILITY 

(a) A patient must meet the financial eligibility 
requirements of this Subchapter to be eligible for benefits 
provided by the payment programs. Financial eligibility 
shall be determined through application of income scales. 
The definition of annual net income in Rule .0203 of this 
Subchapter and the definitions of family in Rule .0204 of 
this Subchapter shall be used in applying the income scales, 
except as provided in Paragraph Paragraphs (f) and [g] of 
this Rule. 

(b) A person shall be financially eligible for inpatient 
services under the Sickle Cell Program Program, and for 
inpatient services under Children's Special Health Services 
if the poroon io age 8 20 if the net family income is at or 
below the following scale: Family Size 1: $4,200; Family 
Size 2: $5,300; Family Size 3: $6,400; Family Size 4: 
$7,500; Family Size 5 and over: add $500 per family 
member. 

(c) A person shall be financially eligible for outpatient 
services under the Sickle Cell Program Program, — fof 
outpatient services under Children's Special Health Services, 
and for inpatient services und e r Childron'o Sp e cial H e alth 
Services if th e p e rson io ag e 7, if the net family income is 
at or below the federal poverty level in effect on July 1 of 
each fiscal year. 

(d) A person shall be financially eligible for the HIV 
Medications Program if the net family income is at or below 
1 10 percent of the federal poverty level in effect on July 1 
of each fiscal year. 

(e) A person shall be financially eligible for the Kidney 
Program if the net family income is at or below the 
following scale: Family Size 1: $6,400; Family Size 2: 
$8,000; Family Size 3: $9,600; Family Size 4: $11,000; 
Family Size 5: $12,000; Family Size 6 and over: add $800 
per family member. 

(0 A person shall be financially eligible for the Cancer 
Program if gross family income is at or below 200% of the 
federal poverty level in effect on July 1 of each year. 

(g) A child shall be financially eligible for Children's 
Special Health Services if the child is approved for Medicaid 
when applying or reapplying for program coverage, except 
for children eligible under Paragraph £h) of this Rule. 

fh) A child approved for Children's Special Health 
Services post adoption coverage pursuant to 15A NCAC 
21F .0800 prior to January L, 1996, shall be eligible for 
services under Children's Special Health Services if the 
child's net income is at or below the federal poverty level 
in effect on July \ of each year. 

(i) A person shall be financially eligible for services 



under the Adult Cystic Fibrosis Program if the net family 
income is at or below the federal poverty level in effect on 
July 1 of each year. 

(j) fg}The financial eligibility requirements of this 
Subchapter shall not apply to: 

(1) Migrant Health Program; 

{¥) Childr e n's Sp e oial H e alth S e rviooo when tho 

rcquiromonts of 15A NCAC 21F .0 8 00 are mot; 

(2) (-34School Health Program Fund financial 
eligibility determinations performed by a local 
health department which has chosen to use the 
financial eligibility standards of the Department 
of Public Instruction's free lunch program; 

(3) (4)Prenatal outpatient services sponsored through 
local health department delivery funds, 15A 
NCAC 21C .0200; or through Perinatal Program 
high risk maternity clinic reimbursement funds, 
15A NCAC 21C .0300; 

(4) {44Diagnostic assessments for infants up to 12 
months of age with sickle cell syndrome. 

(TO (b)Except as provided in Paragraph Paragraphs (i) £1} 
and (m) of this Rule, once an individual is determined 
financially eligible for payment program benefits, the 
individual shall remain financially eligible for a period of 
one year after the date of application for financial eligibility 
unless there is a change in the individual's family size 
pursuant to Rule .0204 of this Subchapter or his family's 
financial resources or expenses during that period. If there 
is a change, financial eligibility for payment program 
benefits must be redetermined. Financial eligibility must be 
redetermined at least once a year. 

(1) fi)For purposes of the Kidney Program and HIV 
Medications Program, once an individual is determined to 
be financially eligible, if the application for financial 
eligibility was received by the Department in the fourth 
quarter of the fiscal year, the individual shall remain 
financially eligible for benefits until the end of the next 
fiscal year unless there is a change in the individual's family 
size pursuant to Rule .0204 of this Subchapter or his 
family s financial resources or expenses during that period. 

(m) Children eligible for Children's Special Health 
Services Program benefits under Paragraph (g) of this Rule 
are financially eligible for a service if they were Medicaid 
eligible on the date the requested service was initiated. 

(n) <j)If the most current financial eligibility form on file 
with the Department shows that the patient was financially 
eligible on the date an Authorization Request for payment 
for drugs was received, the Authorization Request may be 
approved so long as the Authorization Request is received 
less than 30 days prior to the expiration of financial 
eligibility and the authorized service does not extend more 
than 30 days after the expiration of financial eligibility. 

Statutory Authority G.S. 130A-4.2: 130A-5(3); 130A-124; 
130A-127; 130A-129; 130A-205. 

.0203 ANNUAL NET FAMILY INCOME 



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PROPOSED RULES 



(a) Annual net family income shall be computed by 
subtracting the deductions allowed in Paragraph (d) of this 
Rule, from the gross family income as computed in 
Paragraph (c) of this Rule. 

(b) The time period to be used as the basis for computing 
annual net family income is the 12-month period 
immediately preceding the date a patient or his 
representative makes application for eligibility to a particular 
payment program. However, if any of the family members 
were unemployed for at least 30 consecutive days during 
this 12-month period or are currently unemployed at the 
time the application is completed, that person's portion of 
the annual net family income shall be computed on the basis 
of income and deductions for the six month period 
immediately preceding the date of application plus a 
projection of income and deductions (excluding medical 
expenses) for the six month period immediately succeeding 
the date of application based upon the current employment 
or benefit situation. Medical expenses from the 12-month 
period immediately preceding the date of application may be 
deducted from income. 

(c) Gross Family Income: 

(1) Gross family income shall mean the combined 
gross cash income received by the patient's 
family from the following sources: 

(A) Salaries and wages; 

(B) Earnings from self-employment; 

(C) Investment income, stocks, bonds, savings 
account interest, rentals, and all other 
investment income; 

(D) Periodic trust fund payments; 

(E) Public assistance money; 

(F) Unemployment compensation; 

(G) Alimony and child support payments received; 
(H) Military allotments; 

(I) Social Security benefits; 
(J) Veteran's Administration benefits; 
(K) Retirement and pension payments; 
(L) Worker's compensation; 
(M) Educational stipends in excess of the cost of 

tuition and books; 
(N) Allowances paid for basic living expenses such 

as housing and utilities; and 
(O) Su pplemental security income benefits; and 
(P) f©)All other sources of cash income except 

those specifically excluded. 

(2) Gross family income does not include: 

(A) Irregular, incidental income that a child may 
earn from babysitting, lawn mowing, or other 
similar tasks; 

(B) Suppl e mental soourity inoom e b e n e fits; 
£B) f€)Proceeds from the sale of an asset; 

(C) (©)Withdrawals from a bank account; 
£D) (E)Gifts; 

(E) ^Inheritances; 

(F) (G)Life insurance proceeds or other one time 
insurance settlements. 



(d) Any of the following expenses which are paid or 
incurred by a member of the patient's family shall be 
allowed as deductions in determining annual net family 
income: 

(1) state, federal, and social security taxes owed on 
annual income (i.e. taxes withheld minus taxes 
refunded) and any deductions from pay required 
as a condition of employment such as mandatory 
retirement contributions; 

(2) work related expenses incurred by the individual 
which are required by the employer as a 
condition of employment, but excluding the 
purchase or lease of an automobile, transporta- 
tion to and from work, personal clothing and 
cleaning costs, food expenses, and all other 
items not required to perform the duties of 
employment; 

(3) medical and dental expenses not covered by a 
third party payor, including the reasonable costs 
of transportation required to obtain the medical 
and dental services; 

(4) health insurance premiums; 

(5) child care expenses for any child 14 years of age 
and under and any handicapped child 15 years of 
age and over if both parents of a two parent 
family or a single parent work or are disabled or 
are out of the home attending school; 

(6) expenses for the care of any family member who 
is physically or mentally unable to take care of 
himself or herself while other family members 
are out of the home working or attending school; 

(7) child support and alimony payments paid to 
support someone outside of the family 
household; and 

(8) educational expenses incurred for the purpose of 
managing the disability of any member of the 
patient's family. 

Statutory Authority G.S. 130A-5(3); 130A-124; 130A-127; 
130A-129; 130A-205. 

.0204 DETERMINATION OF FAMILY SIZE 

(a) For the purpose of determining eligibility for benefits 
provided by any of the payment programs, a patient's family 
shall be defined as the patient and all individuals living in 
the same household with the patient who are: 

(1) parents, not including step-parents, of the 
patient, if the patient is unmarried and less than 
18 years of age; 

(2) siblings or half-siblings of the patient, but not 
step-siblings, if the siblings are unmarried and 
less than 18 years of age; 

(3) siblings or half-siblings of the patient, but not 
step-siblings, if the siblings are 18 years of age 
or over and have no income; 

(4) the spouse of the patient; and 

(5) individuals related to the patient by blood, 



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October 2, 1995 



1181 



PROPOSED RULES 



marriage, or adoption, if the individual has no 
income, and if no parent(s) or spouse of the 
individual lives in the same household and has 
income; 

(b) Individuals who are students and are temporarily 
living away from their permanent home while attending 
school are for the purposes of the Rule considered to be 
living in the household of the permanent home. 

(c) An adopted child who has received approval for 
Children's Special Health Services support pursuant to 15 A 
NCAC 21F .0800 before January ]_,. 1996, shall be 
considered a family of one for purposes of this Rule. 

(d) Except as provided in Paragraph (c) of this Rule, an 
adopted child shall be considered the same as a biological 
child and an adoptive parent shall be considered the same as 
a biological parent. 

(e) For the purpose of this Rule, a half-sibling is a child 
who has one biological parent in common with the patient. 
A step-sibling is the child of a step-parent who has no 
biological parent in common with the patient. 

Statutory Authority G.S. 130A-5(3); 130A-124; 130A-127; 
130A-129; 130A-177; 130A-205. 

SECTION .0300 - ELIGIBILITY PROCEDURES 

.0301 INCOME DOCUMENTATION 

(a) Documentation of earned income of the patient's 
family is required before services can be authorized in the 
following circumstances: 

(1) Whenever the applicant is requesting payment 
program benefits for inpatient services, even 
when outpatient services have been previously 
authorized. 

(2) Whenever medical expense deductions from 
income exceed three thousand dollars ($3,000). 

(3) Whenever eligibility personnel have reason to 
believe information given may be inaccurate, 

(4) Whenever the Department requests 
documentation for quality control purposes. 

(b) Documentation of income is not required for patients 
financially eligible pursuant to Rule .0202(g) of this 
Subchapter. 

(c) (b)For purposes of this Rule, earned income means 
salaries, wages, and self-employment income. 

(d) (e)Eligibility personnel are authorized to require 
documentation of any component used in computing a 
patient's annual net family income. 

(e) (^Notwithstanding the provisions of Subparagraph 
(a)(2), eligibility personnel are not required to demand 
documentation of information concerning the earned income 
of the patient's family when reimbursement for inpatient 
services is requested through local health department 
delivery funds, 15A NCAC 21C .0200 or perinatal program 
high risk maternity clinic reimbursement funds, 15A NCAC 
21C .0300. 



Statutory Authority G.S- 130A-5(3); 130A-124; 130A-127; 
130A-129; 130A-205. 



TrTLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

CHAPTER 34 - BOARD OF MORTUARY 
SCIENCE 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Board of Mortuary 
Science intends to amend rules cited as 21 NCAC 34B 
.0401; 34D .0202 and .0301. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 2:00 p.m. on 
November 13, 1995 at the State Employees' Credit Union 
Building, Board Room, 801 Hillsborough Street, Raleigh, 
NC 27603. 

Reason for Proposed Action: 

21 NCAC 34B .0401 - The Board sees a need for upgrading 
continuing education standards. The proposed amendment 
changes the lead time for approval of courses and addresses 
course publicity, number of hours required for various 
licenses, length of courses, security at courses and 
verification of attendance. 

21 NCAC 34D .0202 - Some preneed sales licensees sell for 
several funeral homes. The proposed amendment provides 
that the Board files, and not the sales licensee 's pocket card, 
will show the names of the funeral homes. This system will 
be more practical and less expensive for the Board to 
administer than the current system. 

21 NCAC 34D .0301 - The Board wishes, as an 
accommodation, to give multi-branch funeral homes the right 
to choose wliere their preneed records are kept: either at a 
single or at several locations. The proposed amendment 
permits this. 

Comment Procedures: Interested persons may present 
statements, orally and in writing, at the public hearing and 
in writing prior to the hearing by mail addressed to the NC 
Board of Mortuary Science, P.O. Box 27368, Raleigh, NC 
27611-7368. 

Fiscal Note: These Rules do not affect the expenditures or 
revenues of local government or state funds. 

SUBCHAPTER 34B - FUNERAL SERVICE 

SECTION .0400 - CONTINUING EDUCATION 

.0401 ESTABLISHMENT AND APPROVAL 
OF COURSES 

Tho Board shall cause at least fivo houro of continuing 



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10:13 



PROPOSED RULES 



education courses to bo offered to the licensees annually, 
oithor dirootly or through other organizationo or p e rsons 
proour e d for ouoh purpoo e . — Tho Board shall mail to e aoh 
liconooo for svhoso benefit the course is offered, at least 15 
days prior to tho date of enrollment, notice of tho course 
and th e amount of any registration foe to b e oharg e d. 

(a) In addition to courses which it establishes, The the 
Board may approve other courses, provided that descriptions 
of such courooo applications are submitted to the Board at 
least 30 90 days prior to the date of enrollment. No course 
shall be approved unless the Board finds that the course will 
satisfy the purposes set forth in G.S. 90-2 10.25(a)(5). 

(b) The Board shall mail to each licensee for whose 
benefit the course is offered, at least 15 days prior to the 
date of enrollment, notice of the course and the amount of 
any registration fee to be charged. 

(c) Each calendar year licensees shall take continuing 
education courses as follows: funeral directors, five hours 
in subjects approved for funeral directors; embalmers, five 
hours in subjects approved for embalmers; and funeral 
service licensees, five hours in subjects a pproved for funeral 
service licensees. Alternatively, funeral service licensees 
may take two or three hours in subjects a pproved for funeral 
directors and two or three hours in subjects a pproved for 
embalmers, provided the total is at least five hours. No 
credit shall be given for hours carried forward from a 
previous year. 

(d) The following standards apply to continuing education 
courses: 

(1) One hour of continuing education credit shall be 
given for each 50 minutes of instruction. 

(2) The minimum unit to be considered for approval 
shall be a course consisting of at least two hours 
of continuing education credit. Licensees who 
attend a portion of a course shall receive credit 
for each hour attended; however, no credit shall 
be given for any partial hour. 

(3) A course which is two credit hours in length 
shall consist entirely of subjects for funeral 
director credit or entirely of subjects for 
embalmer credit or entirely of subjects for 
funeral service credit. 

(4) The Board shall prepare forms for verifying 
attendance, and course providers shall distribute 
them to licensees in attendance. Providers shall 
retain records of attendance for two years. 

(5) Course providers must make available the 
opportunity for complimentary monitoring of 
courses by Board members or their 
representatives. 

(6) Distance learning, such as by television, 
qualifies only when monitoring is provided in 
the classroom. 

(e) All oouroos shall bo establish e d, and notio e o th e r e of 
giv e n, by lio e no e category, and registration A course must 
be open to all persona North Carolina licensees in the 
license category for which the course is approved . 



(f) Course providers are responsible for verifying 
attendance at courses for credit according to this Rule- 
False verification, whether intentional or negligent, shall be 
cause for the Board to deny applications of providers. 

(g) Course providers shall file the attendance forms with 
the Board, certifying licensees' attendance at courses, no 
later than the time when licensees app ly for license renewal 
or reinstatement. 

Statutory Authority G.S. 90-210. 23 (a); 90-2 10. 25 (a) (5). 

SUBCHAPTER 34D - PRENEED FUNERAL 
CONTRACTS 

SECTION .0200 - LICENSING 

.0202 PRENEED SALES LICENSE 

(a) Subject to G.S. 90-210. 69(c), holding a funeral 
director's license, issued by the Board, or a funeral service 
license, issued by the Board, is the qualification to be 
eligible for a preneed sales license. 

(b) The preneed sales licensee may engage, under the 
preneed sales license, in the following preneed funeral 
planning activities, pursuant to the definition of "preneed 
funeral planning" in G.S. 90-210.60(8): 

(1) show and explain written materials, including 
price lists and photographs, descriptive of the 
funeral services and merchandise and the 
preneed funeral plan or contract being offered; 

(2) explain the various types of funeral ceremonies 
and services and the qualities and characteristics 
of various kinds of funeral merchandise; 

(3) sell, on a preneed basis, funeral services and 
merchandise; 

(4) record, on any form or otherwise, specific items 
of funeral services and merchandise selected on 
a preneed basis; 

(5) make funeral arrangements on a preneed basis; 
and 

(6) sign preneed contracts. 

No preneed funeral planning activities shall be engaged in 
by anyone other than a preneed sales licensee or a registered 
resident trainee in funeral service or funeral directing 
pursuant to 21 NCAC 34B .0103(b); provided, however, no 
preneed sales license is required solely for the sale of an 
insurance policy, and in connection with such a sale, the 
salesperson shall not be deemed to have engaged in preneed 
funeral planning if, for the sole purpose of permitting a 
prospective purchaser to make an informed decision as to 
the amount of insurance desired, the salesperson shows only 
price lists of funeral services and merchandise. 

(c) A licensed funeral director or funeral service licensee 
wishing to apply for a preneed sales license shall submit to 
the Board the applicant's name, address, telephone number, 
funeral director's or funeral service license number, name 
and address of the preneed funeral establishment licensee or 
licensees on whose behalf the applicant will sell preneed 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1183 



PROPOSED RULES 



funeral contracts, and the applicant's employment or agency 
relationship with the licensee or licensees. If the applicant 
proposes to sell on behalf of more than one preneed funeral 
establishment licensee, the applicant shall disclose 
information to satisfy the requirement of G.S. 90-210. 67(a) 
that the preneed funeral establishment licensees be related 
by ownership or contract. 

(d) The Board shall issue to each preneed sales licensee 
a pocket card as certification of the preneed sales license. 
The preneed sales licensee shall carry the card while 
engaging in preneed funeral planning. The oard Upon 
making application for a license the applicant shall indicate 
the names of the preneed funeral establishment licensees on 
whose behalf the preneed sales licensee is authorized to sell 
preneed funeral oontraoto, and if contracts. The a pplicant 
shall pay an application fee and an annual renewal fee 
determined, respectively, by multiplying the a pplication fee 
and renewal fee in 2J. NCAC 34A .0201(c) times the 
number of preneed funeral establishment licensees on whose 
behalf the preneed sales licensee is authorized to sell. When 
there is any change in the list of establishments on whose 
behalf the preneed sales licensee is authorized to sell, the 
preneed sales licensee shall shall, within 10 days, file an 
amended list with the Board make a now application for a 
pronood sales license and shall pay the application fee for 
each new funeral establishment licensee named on the list, 
regardless of whether one or more names have been deleted . 
The total preneed sales license a pplication fee and total 
renewal fee paid pursuant to this Paragraph shall not exceed 
the maximums, respectively, set by statute. 

(e) The preneed sales licensee shall sign and affix his or 
her preneed sales license number to each preneed funeral 
contract, which he or she sells, in the presence of the 
purchaser of the contract at the time of sale. 

Statutory Authority G.S. 90-2 10. 25 (a) (4); 90-2 10. 67 (a), (c); 
90-2 10. 69(a). 

SECTION .0300 - OPERATIONS 

.0301 RECORD AND BOOKKEEPING 
REQUIREMENTS 

(a) Each preneed funeral establishment licensee shall 
maintain at the address stated on its license a general file 
containing: 

(1) a copy of each of its license applications, 
including applications for license renewals; 

(2) copies of all preneed examination reports; and 

(3) copies of all annual reports to the Board. 

(b) Each such licensee shall maintain maintain, at th e 
oamo addroo o , files containing all preneed funeral contracts 
purchased. The files shall be maintained separately for 
outstanding contracts and for matured or cancelled contracts. 
The outstanding contract file shall include a copy of each 
preneed contract filed alphabetically or numerically. The 
matured or cancelled contract file shall contain a copy of 
each preneed contract, together with a copy of the certificate 



of performance, and shall be filed either chronologically or 
alphabetically by year. 

(c) Each such licensee shall maintain maintain, at the 
same address, the following records: 

(1) a contract register listing the purchaser's name 
and final disposition of the contract; 

(2) a separate cash journal or separate cash receipt 
book designated for preneed, showing all 
preneed payments collected; 

(3) an individual ledger for each contract purchaser 
showing the purchaser's and beneficiary's 
names, amount of the contract, amount paid on 
the contract, amount retained free of trust 
pursuant to G.S. 90-2 10. 6 1(a)(2), deposits to 
trust, withdrawals from trust as permitted by law 
and the reasons therefor, interest on deposits, 
total amount of the trust, and amounts paid to 
insurance companies for insurance- funded 
contracts; 

(4) copies of bank statements and deposit slips from 
financial institutions in which trust funds are 
deposited, certificate of deposit records, 
including both principal and interest transactions 
and trust accountings; and 

(5) copies of applications for insurance, insurance 
policies, beneficiary designation documents and 
instruments of assignment. 

(d) When two or more preneed funeral establishment 
licensees are wholly owned by the same entity, all of the 
copies and records required to be maintained by Paragraphs 
(a) and (b) of this Rule may be maintained at one address of 
the licensee, or they may be divided among and maintained 
at various addresses of the licensees, in their discretion. 

(d)(e) The copies required to be maintained by Paragraph 
(a) of this Rule shall be retained a minimum of ten years 
following their origination. The copies and records required 
to be maintained by Paragraphs (b) and (c) of this Rule shall 
be retained a minimum of ten years following the 
substitution of a different funeral establishment to perform 
the preneed funeral contract, the revocation of the preneed 
funeral contract or the death of the contract beneficiary, 
whichever occurs first. 

ffrHf) Individual ledgers and records of the depository 
financial institutions shall be balanced at least annually to 
ensure accuracy. 



1184 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



PROPOSED RULES 



Statutory Authority G.S. 90-210.69(a); 90-210.68(a). 

CHAPTER 63 - CERTIFICATION BOARD 
FOR SOCIAL WORK 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Certification Board 
for Social Work intends to amend rule cited as 21 NCAC 63 
.0306. 

Proposed Effective Date: January 1, 1996. 

A Public Hearing will be conducted at 10:00 a.m. on 
November 17, 1995 at 130 S. Church Street, Asheboro, NC 
27203. 

Reason for Proposed Action: Ratification of Senate Bill 
642, "An Act to Update The Fee Structure of the North 
Carolina Board for Social Work", 1995 Session, NC General 
Assembly, effective July 1, 1995. Bill amends GS 90B-6(f). 



Comment Procedures: Submit comments in writing to 
NCCBSW, PO Box 1043, Asheboro NC 27204, or by fax 
transmission to (910) 625-1680, by November 1, 1995. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of local government or state funds. 

SECTION .0300 - EXAMINATIONS 

.0306 EXAMINATION FEES 

(a) An examination fee of ono hundred dollars ($100.00) 
one hundred twenty-five dollars ($125.00') will be assessed 
for administration and processing of any written 
examination. 

(b) An applicant who fails to appear for an examination 
shall be assessed a fee of ono hundred dollars ($100.00) one 
hundred twenty-five dollars ($125.00) in order to take the 
examination at a later date. 

Statutory Authority G. S. 90B-6. 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1185 



RRC OBJECTIONS 



1 he Rules Review Commission (RRC) objected to the following rules in accordance with G.S. 150B-21.9(a). State 
agencies are required to respond to RRC as provided in G.S. 150B-21. 12(a). 



DEPARTMENT OF COMMUNITY COLLEGES 

Community Colleges 

23 NCAC 2C .0604 - Program Review 
Agency Revised Rule 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Environmental Management 

15 A NCAC 2B .0202 - Definitions 

Agency Revised Rule 
15 A NCAC 2B .0211 - Fresh Surface Water Quality Stds. for Class C Waters 

Agency Revised Rule (Noticed in 9:23, 1979) 
15 A NCAC 2H .1003 - Coastal Stormwater Disposal 

Agency Revised Rule 
15A NCAC 2H . 1008 - Design of Stormwater Management Measures 

Agency Revised Rule 

Health: Epidemiology 

15 A NCAC 19 A .0202 - Control Measures - HIV 
Agency Revised Rule 

Wildlife Resources and Water Safety 

15A NCAC 10F .0313 - Hyde County 
Agency Revised Rule 

HUMAN RESOURCES 

Facility Services 

10 NCAC 3C .3001 - Definitions 

10 NCAC 3C .3108 - Suspension of Admissions 

10 NCAC 3C .3205 - Discharge of Minor or Incompetent 

10 NCAC 3C .3302 - Minimum Provisions of Patient's Bill of Rights 

10 NCAC 3C . 3502 - Bylaws 

10 NCAC 3C .3602 - Responsibilities 

10 NCAC 3C .3603 - Personnel Policies and Practices 

10 NCAC 3C .3607- Personnel Health Requirements 

10 NCAC 3C .3608 - Insurance 

10 NCAC 3C .3704 - Status 

10 NCAC 3C .3902 - Manager 

10 NCAC 3C .3904 - Patient Access 

10 NCAC 3C .4003 - Policies and Procedures 

10 NCAC 3C .4102 - Classification of Optional Emergency Services 

10 NCAC 3C .4104 - Medical Director 

10 NCAC 3C .4203 - Nursing Staff 

10 NCAC 3C .4303 - Nursing Services Maternal Services 

10 NCAC 3C .4307 - Nursing Staff of Neonatal Services 

10 NCAC 3C .4401 - Organization 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



06/14/95 
07/13/95 



RRC 


Objection 


07/13/95 


Obj. 


Removed 


07/13/95 


RRC 


Objection 


07/13/95 


Obj. 


Removed 


07/13/95 


RRC 


Objection 


08/10/95 


Obj. 


Removed 


08/10/95 


RRC 


Objection 


08/10/95 


Obj. 


Removed 


08/10/95 



06/14/95 
07/13/95 



08/10/95 
08/10/95 



RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


October 2, 1995 


10:13 



1186 



NORTH CAROLINA REGISTER 



RRC OBJECTIONS 



10 NCAC 3C . 4502 - Pharmacist 

10 NCAC 3C .4512 - Medications Dispensed 

10 NCAC 3C .4702 - Organization 

10 NCAC 3C .4703 - Sanitation and Safety 

10 NCAC 3C .4704 - Distribution of Food 

10 NCAC 3C .4705 - Nutritional Support 

10 NCAC 3C .4801 - Organization 

10 NCAC 3C .4905 - Tissue Removal and Disposal 

10 NCAC 3C .5002 - Delivery of Care 

10 NCAC 3C .5201 - Psychiatric/Substance Abuse Svcs.: Applicability of Rules 

10 NCAC 3C .5202 - Definitions Applicable/Psychiatric/Substance Abuse Svcs. 

10 NCAC 3C .5205 - Seclusion 

10 NCAC 3C .5302 - Definitions 

10 NCAC 3C .5309 - Nursing/Health Care Administration and Supervision 

10 NCAC 3C .5315 - Dental Care 

10 NCAC 3C .5318 - Activities and Recreation 

10 NCAC 3C .5319 - Social Services 

10 NCAC 3C .5322 - Brain Injury Extended Care Physician Services 

10 NCAC 3C .5323 - Brain Injury Extended Care Program Requirements 

10 NCAC 3C .5324 - Special Nursing Req. Brain Injury Long Term Care 

10 NCAC 3C .5325 - Ventilator Dependence 

10 NCAC 3C .5326 - Physician Services for Ventilator Dependent Patients 

10 NCAC 3C .5403 - HTV Designated Unit Policies and Procedures 

10 NCAC 3C .5405 - Physician Services in a HTV Designated Unit 

10 NCAC 3C .5407 - Use of Investigational Drugs on the HTV Designated Unit 

10 NCAC 3C .5501 - Definitions 

10 NCAC 3C .5502 - Physician Reg. for Inpatient Rehab. Facilities or Units 

10 NCAC 3C .5507 - Comprehensive Rehabilitation Personnel Administration 

10 NCAC 3C .5508 - Comprehensive Inpatient Rehab. Program Staffing Req. 

10 NCAC 3C .5512 - Additional Req. for Traumatic Brain Injury Patients 

10 NCAC 3C .5513 - Additional Req. for Spinal Cord Injury Patients 

10 NCAC 3C .6102 - List of Referenced Codes and Standards 

10 NCAC 3C .6208 - Obstetrical Department Requirements 

10 NCAC 3H .2001 - Definitions 

10 NCAC 3H .2201 - Administrator 

10 NCAC 3H .2202 - Admissions 

10 NCAC 3H .2203 - Patients Not to be Admitted 

10 NCAC 3H .2206 - Medical Director 

10 NCAC 3H .2209 - Infection Control 

10 NCAC 3H .2212 - Quality Assurance Committee 

10 NCAC 3H .2301 - Patient Assessment and Care Planning 

10 NCAC 3H .2302 - Nursing Services 

10 NCAC 3H .2308 - Domiciliary Home Personnel Requirements 

10 NCAC 3H .2401 - Maintenance of Medical Records 

10 NCAC 3H .2501 - Availability of Physician's Services 

10 NCAC 3H .2505 - Brain Injury Long-Term Care Physician Services 

10 NCAC 3H .2506 - Physician Services for Ventilator Dependent Patients 

10 NCAC 3H .2601 - Availability of Pharmaceutical Services 

10 NCAC 3H .2604 - Drug Procurement 

10 NCAC 3H .2605 - Drug Storage and Disposition 

10 NCAC 3H .2606 - Pharmaceutical Records 

10 NCAC 3H .2607 - Emergency Drugs 

10 NCAC 3H .2701 - Provision of Nutrition and Dietetic Services 

10 NCAC 3H .2801 - Activity Services 

10 NCAC 3H .2802 - Social Services 

10 NCAC 3H .3002 - Quality of Specialized Rehabilitation Services 

10 NCAC 3H .3003 - Ventilator Dependence 



RRC Objection 
RRC Objection 
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RRC Objection 
RRC Objection 
RRC Objection 
RRC Objection 



07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 
07/13/95 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1187 



RRC OBJECTIONS 



10 NCAC 3H .3004 - 
10 NCAC 3H .3005 - 
10 NCAC 3H .3011 - 
10 NCAC 3H .3012 - 
10 NCAC 3H .3013 - 
10 NCAC 3H .3015 - 
10 NCAC 3H .3016 - 
10 NCAC 3H .3021 
10 NCAC 3H .3027 - 
10 NCAC 3H .3031 - 
10 NCAC 3H .3103 - 
10 NCAC 3H .3201 - 
10 NCAC 3H .3401 - 
10 NCAC 3H .3404 - 
10 NCAC 30 .0305 - 

Agency Revised 
10 NCAC 30 .0506 - 

Agency Revised 
10 NCAC 30 .0607 - 

Agency Revised 
10 NCAC 3U .0705 - 

Agency Revised 
10 NCAC 3U .1403 - 

Agency Revised 
10 NCAC 3U .1717- 

Agency Revised 



Brain Injury Long-Term Care 

Special Nursing Req. for Brain Injury Long-Term Care 
HIV Designated Unit Policies and Procedures 
Physician Services in an HIV Designated Unit 
Special Nursing Requirements for an HIV Designated Unit 
Use of Investigational Drugs for HTV Designated Units 
Additional Social Work Req. for HTV Designated Units 
Physician Req. for Inpatient Rehab. Facilities or Units 
Comprehensive Inpatient Rehab. Program Staffing Req. 
Additional Req. for Spinal Cord Injury Patients 
Site 

Required Spaces 
Heating and Air Conditioning 
Other 

Persons Subject to Licensure 
Rule 

Simplified Reporting for Certain Organizations 
Rule 

License Year 
Rule 

Special Training Requirements 
Rule 

Aquatic Activities 
Rule 

Health, Safety and Sanitation Requirements 
Rule 



RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


07/13/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


05/18/95 


Obj. Removed 


05/18/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 



RRC has Objected to the Following Repeals in 10 NCAC 3C and 10 NCAC 3H: 

10 NCAC 3C .0101 - .0102, .0104 - .0110, .0201 - .0203, .0301 - .0307, .0401 - .0407, .0501 - .0505, .0601 - .0604, 

.0701 - .0708, .0801 - .0805, .0807, .0901 - .0917, .1001 - .7006, .1101 - .1102, .1201 - .1204, .1301 - .1303, .1401 - 

.1405, .1501 - .1508, .1510, .1601 - .1606, .1701 - .1717, .1801 - .1805, .1901 - .1912, .1915 - .1932, .2001 - .2008, 

.2020- .2033, .2101 - .2105. 

10 NCAC 3H .0108 - .0109, .0206 - .0220, .0306 - .0318, .0407 - .0409, .0505 - .0507, .0510 - .0517, .0605 - .0609, 

.0705-0712, .0810 - .0812, .0903 - .0911, .1003 - .1008, .1105 - .1109, .1130- .1136, .1150- .1163, .1204- .1208, 

.1210, .1306- .1308, .1405 - .1406, .1408- .1410, .1501 - .1503, .1612 - .1613, .1703 - .1704, .1804- .1807. 

Medical Assistance 



10 NCAC 26H .0302 - Reporting Requirements 

Agency Revised Rule 
10 NCAC 26H .0304 - Rate Setting Methods for Non-state Facilities 

Agency Revised Rule 
10 NCAC 26H .0305 - Allowable Costs 

Agency Revised Rule 
10 NCAC 26H .0308 - Rate Appeals 

Agency Revised Rule 



RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 



INDEPENDENT AGENCIES 



State Health Plan Purchasing Alliance Board 



24 NCAC 5 .0414 - Alliance Participation Fee 
Rule Withdrawn by Agency 
Agency Resubmitted Rule 
Agency Revised Rule 



RRC Objection 
Obj. Removed 



06/14/95 
07/13/95 
07/13/95 



JUSTICE 



1188 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



RRC OBJECTIONS 



Criminal Justice Education and Training Standards 

12 NCAC 9B .0202 - Responsibilities of the School Director 

Agency Revised Rule 
12 NCAC 9B .0206 - Basic Training - Correctional Officers 

Agency Revised Rule 
12 NCAC 9D .0104 - Intermediate Law Enforcement Certificate 

Agency Revised Rule 
12 NCAC 9D .0105 - Advanced Law Enforcement Certificate 

Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 
Board of Certified Public Accountant Examiners 



RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 



21 NCAC 8M .0102 - Registration Requirements 

Rule Withdrawn by Agency 
21 NCAC 8M .0104 - Firms Deemed in Compliance 

Agency Revised Rule 
21 NCAC 8N .0307 - Firm Names 

Agency Revised Rule 

Board of Medical Examiners 

21 NCAC 32H .0102 - Definitions 

Agency Revised Rule 
21 NCAC 32H .0506 - Certification Requirement: Emergency Medical Dispatcher 
21 NCAC 32N .0002 - Continuances 



RRC Objection 


07/13/95 




08/10/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


RRC Objection 


08/10/95 



Board of Nursing Home Administrators 

21 NCAC 37 .0302 - Initial Licensure Fee 

Rule Withdrawn by Agency 
21 NCAC 37 .0404 - Continuing Education Programs of Study 

Rule Withdrawn by Agency 
21 NCAC 37 .0502 - Application to Become Administrator-In-Training 

Agency Revised Rule 
21 NCAC 37 .0904 - Biennial Registration Requirements 

Rule Withdrawn by Agency 
21 NCAC 37 .0914 - Duplicate Licenses 

Rule Withdrawn by Agency 



RRC Objection 
Obj. Removed 



08/10/95 

08/10/95 
07/13/95 
07/13/95 

08/10/95 

07/13/95 



Board of Pharmacy 

21 NCAC 46 . 1601 - Pharmacy Permits 

Agency Revised Rule 
21 NCAC 46 . 1608 - Device and Medical Equipment Permits 

Agency Revised Rule 
21 NCAC 46 .2601 - Dispensing and Delivery 

Agency Revised Rule 
21 NCAC 46 .2602 - Orders 

Rule Withdrawn by Agency 
21 NCAC 46 .2603 - Education and Training 

Agency Revised Rule 
21 NCAC 46 .2604 - Records 

Agency Revised Rule 
21 NCAC 46 .2605 - Registration of Non-Pharmacists 



RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 




08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


October 2, 1995 


1189 



10:13 



NORTH CAROLINA REGISTER 



RRC OBJECTIONS 



Agency Revised Rule 
21 NCAC 46 .2606 - Conveying Warnings 

Agency Revised Rule 
21 NCAC 46 .2609 - Rehabilitation Equipment 

Agency Revised Rule 
21 NCAC 46 .2803 - Req /pharmacies Dispensing Sterile Parenteral Pharmaceuticals 

Agency Revised Rule 



Obj. 


Removed 


08/10/95 


RRC 


' Objection 


08/10/95 


Obj. 


Removed 


08/10/95 


RRC 


' Objection 


08/10/95 


Obj. 


Removed 


08/10/95 


RRC 


' Objection 


08/10/95 


Obj. 


Removed 


08/10/95 



SECRETARY OF STATE 



Securities Division 



18 NCAC 6 . 1209 - Nonprofit Securities 

Agency Revised Rule 
18 NCAC 6 . 1314 - Escrow Agreements 
18 NCAC 6 .1401 - Application for Registration of Dealers 

Agency Revised Rule 
18 NCAC 6 . 1402 - Application for Registration of Salesmen 

Agency Revised Rule 
18 NCAC 6 . 1413 - Salesman Examination Required 

Agency Revised Rule 
18 NCAC 6 .1702 - Application for Investment Adviser Registration 

Agency Revised Rule 
18 NCAC 6 .1713 - Invest Adviser Merger/Consolidation/Acquisition/Succession 

Agency Revised Rule 
18 NCAC 6 . 1901 - Application for Registration of Athlete Agents 

Agency Revised Rule 



RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 


RRC Objection 


08/10/95 


RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


Obj. Cont'd 


08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 


RRC Objection 


08/10/95 


Obj. Removed 


08/10/95 



STATE PERSONNEL 



Office of State Personnel 



25 NCAC 1C .0405 - Temporary Appointment 

Agency Revised Rule 
25 NCAC 1C .0407 - Temporary Part-Time Appointment 

Agency Revised Rule 
25 NCAC ID .2001 - Coverage 

Agency Repealed Rule 
25 NCAC IK .0312 - Eligibility 

Agency Revised Rule 



RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 


RRC Objection 


07/13/95 


Obj. Removed 


07/13/95 



1190 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index 
to all recent contested cases decisions which are filed under North Carolina 's Administrative Procedure Act. Copies of 
the decisions listed in the index and not published are available upon request for a minimal charge by contacting the 
Office of Administrative Hearings, (919) 733-2698. 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 



Division of Purchase and Contract 

Senter-Sanders Tractor Corp. v. Admin., Div of Purchase & Contract 94 DOA 0803 

CMC Maintenance Co., a Div. of RDS Corp. v. Dept. of Administration, 95 DOA 0194 
Div. of Purchase & Contract, et al. 



Nesnow 
Phipps 



03/06/95 
06/13/95 



State Construction Office 

W. M. Piatt & Company v. State Construction Office, DOA 

Holland Group, Inc. v. Dept. of Administration, St. Construction Office 



94 DOA 0738 
94 DOA 1565 



Nesnow 
Nesnow 



04/11/95 
06/01/95 



10:03 NCR 
10:07 NCR 



221 
619 



ALCOHOLIC BEVERAGE CONTROL COMMISSION 

Ali Alsaras v. Alcoholic Beverage Control Commission 
Norman D. Forbes v. Alcoholic Beverage Control Commission 
Ben Sproul and Steve Pauls v. Alcoholic Beverage Control Comm 
Albert Stanley Tomanee v. Alcoholic Beverage Control Commission 
Robert Johnson v. Alcoholic Beverage Control Commission 
Stinking Mercury, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Depot Stop N Go, Inc. 
John H. Robinson v. Alcoholic Beverage Control Commission 
Clara and Carson Young v. Alcoholic Beverage Control Commission 
Vladimir Walter Kozlik Jr. v. Alcoholic Beverage Control Commission 
Bryan Lynn Whitaker, Susan Ansley Whitaker v. ABC Commission 
Diamond Club, Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Weisner, Inc. 
Robert Louis Reese v. Alcoholic Beverage Control Commission 
Ray E. Bailey v. Alcoholic Beverage Control Commission 
Legwin Z. Williams v. Alcoholic Beverage Control Commission 
Taleb Abed Rahman v. Alcoholic Beverage Control Commission 
Sherrill Douglas Langston v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Janice Mae Miles 
Imran Ali Hameerah v. Alcoholic Beverage Control Commission 
and 
City of Raleigh 
Alcoholic Beverage Control Commission v. Vladimir Walter Kozlik Jr. 
Mychal R. Hill v. Alcoholic Beverage Control Commission 
Alcoholic Bev Cont Comm. v. Partnership, T/A Royal Knights Soc Club 
Alcoholic Beverage Control Comm. v. Nancy Wheeler Wolfe 

CRIME CONTROL AND PUBLIC SAFETY 



94 ABC 0526 


Chess 


94 ABC 0787 


Gray 


94 ABC 1046 


Chess 


94 ABC 1168 


Beeton 


94 ABC 1661 


West 


94 ABC 1682 


Chess 


94 ABC 1694 


Mann 


94 ABC 1727 


Morrison 


94 ABC 1729 


Chess 


94 ABC 1154*° 


Mann 


94 ABC 1784 


Mann 


94 ABC 1803 


Mann 


95 ABC 0068 


West 


95 ABC 0074 


Chess 


95 ABC 0210 


Gray 


95 ABC 0224 


Nesnow 


95 ABC 0323 


Phipps 


95 ABC 0415 


Nesnow 


95 ABC 0434 


West 


95 ABC 0477 


Phipps 


95 ABC 05 l&* a 


Mann 


95 ABC 0617 


Morrison 


95 ABC 0711 


Phipps 


95 ABC 0713 


PhippB 



05/16/95 
03/17/95 
08/17/95 
03/07/95 
05/01/95 
05/03/95 
03/29/95 
05/18/95 
05/11/95 
08/02/95 
04/19/95 
04/07/95 
06/07/95 
05/25/95 
05/01/95 
05/31/95 
08/02/95 
08/01/95 
07/20/95 
07/14/95 



08/02/95 
09/08/95 
09/14/95 
09/14/95 



10:11 NCR 960 



10:06 NCR 417 
10:10 NCR 868 



10:11 NCR 960 



Patrick O. Hawkins v. Office of Administrative Hearings 

Crime Victims Compensation Commission 

John Pavlikianidis v. Victims Compensation Commission 
Fay, Cynthia, S. Dalton v. Crime Victims Compensation Commission 
Phyllis H. Steinmetz v. Crime Victims Compensation Commission 
Hubert Johnson, Edna J. Carter v. Crime Victims Compensation Comm. 
Wayne L. Utley v. Crime Victims Compensation Commission 
Sandra H. Hughes v. Victims Compensation Commission 
Knstine S. Ray v. Crime Victims Compensation Commission 
Shirley Moody Myers v. Crime Victims Compensation Commission 



95 CPS 0361 



Phipps 



94 CPS 0237 


Morrison 


94 CPS 0445* 4 


West 


94 CPS 0542 


West 


94 CPS 1177 


Mann 


94 CPS 1180 


Becton 


94 CPS 1600 


Morrison 


94 CPS 1673 


Chess 


94 CPS 1674 


Chess 



08/01/95 



03/21/95 
05/30/95 
05/16/95 
06/12/95 
03/07/95 
06/09/95 
04/20/95 
04/20/95 



10:02 NCR 176 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1191 



CONTESTED CASE DECISIONS 



AGENCY 



Thomasine Tnmnn v. Crime Victims Compensation Commission 

Irmgard Gordos v. Crime Victims Compensation Commission 

Fay, Cynthia, S. Dalton v. Crime Victims Compensation Commission 

Ellen Sherwin v. Crime Vic Comp James Byrum Emp/ Baptist Hosp 

Anthony Harold Stone v. Crime Victims Compensation Commission 

Howard B. Peterson v. Crime Victims Compensation Commission 

Ella Ruth Jordan V. Gary B. Eichelberger Dir., Crime Vic. Comp. Comm. 95 

Lynn H. Henderson v. CPS, Victims Compensation Commission 

Larusha Bey v. Crime Victims Compensation Commission 

Percible Gaston v. Crime Victims Compensation Commission 

Horton Edward v. Crime Victims Compensation Commission 

David Leo Rice v. CPS, Crime Victims Compensation Commission 

Janet Ring Stevens v. Crime Victims Compensation Commission 

Michael A. Herd v. Crime Victims Compensation Commission 

Juan Aguilar v. Crime Victims Compensation Commission 

John Kuwalik v. Crime Victims Compensation Commission 

Sandra Jones v. Crime Victims Compensation Commission 

Mark Edward Altman v. CPS, Crime Victims Compensation Commission 95 

Roland Lee Kelly, Jr. v. United Family Svcs, Vic Assis/Crime Vic. Comp 95 

Danny Ray Bell v. Crime Victims Compensation Commission 



BOARD OF ELECTROLYSIS EXAMINERS 

Diane Rawls v. North Carolina Board of Electrolysis Examiners 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Concrete Supply Company v. Environment, Health, & Natural Resources 
Setter Bros. Inc. v. Environment, Health, and Natural Resources 
Environment, Health, & Natural Resources v. Royal James Cafe 
John W. VanHoy, Jr. & Adjacent Land Owners v. EHNR 
and 
Shugart Enterprises, Inc. 
Browning-Ferris Ind. of S. Atlantic, Inc. and Sampson Cty. Disposal, Inc. 
v. Dept. of Environment, Health, and Natural Resources, 

and 
Hoke County and Bladen County 

Coastal Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CPS 1731 


Ncsnow 


03/09/95 


94 CPS 1782 


Gray 


03/09/95 


95 CPS 0010* 4 


West 


05/30/95 


95 CPS 0012 


West 


03/22/95 


95 CPS 0115 


Chess 


08/22/95 


95 CPS 0163 


Reilly 


07/06/95 


95 CPS 0181 


West 


06/21/95 


95 CPS 0212 


Morrison 


05/08/95 


95 CPS 0245 


Reilly 


06/02/95 


95 CPS 0270 


Gray 


06/13/95 


95 CPS 0331 


Pbippe 


07/25/95 


95 CPS 0335 


Morrison 


09/15/95 


95 CPS 0337 


Gray 


07/21/95 


95 CPS 0349 


Chess 


08/15/95 


95 CPS 0356 


Reilly 


06/22/95 


95 CPS 0381 


Becton 


07/10/95 


95 CPS 0427 


Nesnow 


06/02/95 


95 CPS 0461 


West 


07/25/95 


95 CPS 0568 


Phipps 


08/09/95 


95 CPS 0737 


Reilly 


09/11/95 



PUBLISHED DECISION 
REGISTER CITATION 



95 BEE 0173 



West 



08/03/95 



i 



94 EHR 0950 


Gray 


05/23/95 


10:06 NCR 414 


94 EHR 1676 


Nesnow 


03/09/95 




94 EHR 1756 


Becton 


06/30/95 


10:08 NCR 696 


95 EHR 0016 


Phipps 


03/17/95 




95 EHR 0506 


West 


06/13/95 





( 



William C. Young v. Coastal Resources Commission 
and 
Robert L. Casper, Jr. and Mary M. Casper 
Howard C. Slack v. Coastal Resources Comm, EHNR 

Davidson County Health Department 

John Dee Clodfelter v. Davidson County Health Dept.; EHNR 
Environmental Health 



95 EHR 0009 Chess 



95 EHR 0140 Phipps 



94 EHR 1037 



Chess 



06/13/95 



03/22/95 



03/13/95 



10:02 NCR 185 



EEE-ZZZ Lay Drain Compnay, Inc. v. On-Site Wastewater Section, 
Division of Environmental Health 



94 EHR 0745 



Chess 



04/24/95 



Environmental Management 

United Screen Printers, Inc. v. EHNR, Div. of Environmental Mgmt. 
Empire Power Co. and George Clark v. EHNR, Div. of Env. Mgmt. 
and 
Duke Power Company 
Empire Power Co. and George Clark v. EHNR, Div. of Env. Mgmt. 
and 
Duke Power Company 
United Screen Printers, Inc. v. EHNR, Div. of Environmental Mgmt. 
Kenan Oil Company, Inc. v. EHNR, Div. of Environmental Mgmt. 



91 EHR 1I79* 5 


West 


05/30/95 


92 EHR0021- 1 


Gray 


04/03/95 


92 EHR 0053* 1 


Gray 


04/03/95 


93 EHR 0273* 5 


West 


05/30/95 


94 EHR 0894 


Nesnow 


05/08/95 



i 



+ Consolidated cases. 



1192 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Moffitt and Pierce Construction, Inc. v. EHNR, Environmental Mgmt. 94 EHR 1755 

Hyde County Health Department 

Fritzner Henry v. Hyde County Health Department 94 EHR 0924 

Macon County Health Department 

Four Residents on Genva Circle v. Macon County Health Department 94 EHR 1202 

Marine Fisheries 

Chancy Junior Sawyer v. EHNR, Division of Marine Fisheries 94 EHR 1786 

Maternal and Child Health 



Jimmy Franklin v. EHNR Maternal & Child Hlth, Nutrition Services 
Middleburg Variety v. EHNR, Maternal & Child Health, Nutrition Svcs. 
Taisser Shehadeh v. EHNR, Maternal & Child Health, Nutrition Svcs. 
Philip Haskins v. EHNR, Div. of Maternal & Child Health 
Food City, Inc. v. Dept of Environment, Health, & Natural Resources 
Goldston Grocery, Larry Mis v. EHNR, Div. of Maternal & Child Health 
Dermic Blalock v. EHNR, Maternal & Child Health, Nutrition Svcs. 



New Hanover County Health Department 

Gus Kalogiroa v. New Hanover Co. (Health Dept.), Adm & Env. Svcs 94 EHR 1073 

Pitt County Public Health Center 

Mary Joyner Dudley v. Pin County Public Health Center & EHNR 94 EHR 1043 

Division of Solid Waste Management 

Joyce Hildreth v. EHNR, Division of Solid Waste Management 95 EHR 0851 

EQUAL EMPLOYMENT OPPORTUNITY 

Marsha Dianne McKoy v. DHR, Div. of MH/DD/SAS, Caswell Center 90 EEO 0379 

HUMAN RESOURCES 

Helen J. Walls, D/B/A Walls Young World v. Dept. of Human Resources 94 DHR 1362 
Cecilia Y. Wall, William S. Wall v. Department of Human Resources 94 DHR 1627 

Veronica Spearman, John P. Spearman v. Dept. of Human Resources 95 DHR 0216 

Sandra Jean Taylor v. Department of Human Resources 95 DHR 0366 



Division of Child Development 

Iola Malloy v. DHR, Division of Child Development 

Samuel Simmons & Wife, Alphia Mack Simmons v. Human Resources 

Willie & Pamela Sturgess v. DHR, Division of Child Development 

Esther Elder v. DHR, Division of Child Development 

Theresa B. Thomas v. DHR, Division of Child Development 

Ellen H. Sams v. DHR, Division of Child Development 

Dixie Jenkins v. DHR, Division of Child Dev., Elizabeth Alexander 

Chapel Hill Day Care Center, Nancy Taylor v. DHR, Div. of Child Dev. 

Facility Services 

William H. Cooke v. DHR, Division of Facility Services 

Mildred Reece, Calvin Reece v. DHR, Division of Facility Services 

Domiciliary & Group Care Section 
Lisa Marie Shanks v. Department of Human Resources 
Brenda I. McAllister v. DHR, Division of Facility Services 



West 



Gray 



Nesnow 



Chess 



Morrison 



Gray 



Morrison 



Chess 



94 DHR 0849 


Mann 


94 DHR 1617 


Gray 


94 DHR 1631 


Reilly 


94 DHR 1771 


Reilly 


95 DHR 0268 


Morrison 


95 DHR 0293 


Phipps 


95 DHR 0315 


West 


95 DHR 0450 


Phipps 



06/06/95 



03/09/95 



03/27/95 



05/22/95 



94 EHR 0288 


Gray 


05/22/95 


94 EHR 1601 


Chess 


05/01/95 


94 EHR 1711 


Chess 


05/02/95 


94 EHR 1777 


Chess 


03/09/95 


95 EHR 0372 


Reilly 


08/10/95 


95 EHR 0869 


Becton 


09/13/95 


95 EHR 0892 


Gray 


09/14/95 



04/28/95 



06/27/95 



09/13/95 



04/03/95 



Becton 


03/20/95 


Morrison 


07/06/95 


Reilly 


06/02/95 


Reilly 


07/19/95 



03/03/95 
09/13/95 
07/10/95 
03/17/95 
07/14/95 
08/08/95 
08/25/95 
06/02/95 



94 DHR 0565 


Gray 


03/16/95 


94 DHR 1783 


Gray 


03/16/95 


95 DHR 0121 


West 


08/03/95 


95 DHR 0149 


West 


09/11/95 



10:13 NCR 1205 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1193 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



Bingo Licensure Section 



95 DHR 0040 Morrison 



The Regular Veterans Association of the United States and the Sixteen 
Posts of the Regular Veterans Association of the United States and the 
Regular Veterans Association Auxiliary Located in the State of North 
Carolina v. DHR, Division of Facility Services, Bingo Licensure Section 

Certificate of Need Section 

The Carrolton of Fayetteville, Inc. and Highland House of Fayetteville, 94 DHR 0197* 2 Reilly 

Inc. and Richard Allen, Sr. v. DHR, Division of Facility Services, 

Certificate of Need Section 
and 

Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Care 
The Carrolton of Fayetteville, Inc. and Highland House of Fayetteville, 94 DHR 0198* 2 Reilly 

Inc. and Richard Allen, Sr. v. DHR, Division of Facility Services, 

Certificate of Need Section 
and 

Pine Manor Rest Home, Inc., d/b/a Pine Manor Health Care 
Retirement Villages, Inc. (Lessor), and Liberty Healthcare Ltd. 

Partnership (Lessee) D/B/A Countryside Villa of Duplin v. DHR, 

Division of Facility Services, Certificate of Need Section 
and 

Beaver Properties/Wallace, Inc., and Brian Center Health & Retirement/ 

Wallace, Inc. 



94 DHR 0403 Chess 



DATE OF 

DECISION 



04/13/95 



04/05/95 



04/05/95 



12/14/94 



PUBLISHED DECISION 
REGISTER CITATION 



i 



Office of Emergency Medical Services 

Charles M. Erwin v. DHR, Facility Svcs, Off. of Emgcy. Medical Svcs. 92 DHR 1697 

Division of Medical Facilities Licensure Section 

Shelia Marie Hall v. DHR, Div/Facility Svcs., Med. Facilities Lie. Sec. 95 DHR 0307 
Joe Junior Bailey v. DHR, Div/Facility Svcs., Med. Facilities Lie. Sec. 95 DHR 0322 
Evangeline of King, Inc. v. DHR, Div/Fac Svcs, Med. Facilities Lie. Sec. 95 DHR 0413 

Division of Medical Assistance 

AS, by and through her agent and personal representative, Hank Neal 93 DHR 1736 

v. DHR, Division of Medical Assistance 
DA, by and through his agent and personal representative. Hank Neal 93 DHR 1737 

v. DHR, Division of Medical Assistance 



Division of Social Services 

Child Support Enforcement Section 

Daniel J. Carter v. Department of Human Resources 
Shawn Dominic Caldwell v. Department of Human Resources 
William Zonta Thompson v. Department of Human Resources 
Jackie E. Hackney v. Department of Human Resources 
Lenzo Davis v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
Elbert Quick v. Department of Human Resources 
Dennis E. Barkley v. Department of Human Resources 
Clement McMillan v. Department of Human Resources 
Herbert James Jackson UJ v. Department of Human Resources 
Larry James Walker Jr. v. Department of Human Resources 
James R. Gray v. Department of Human Resources 
Manuel F. Isla v. Department of Human Resources 
John D Bird v. Department of Human Resources 
Lacy Green, Jr. v. Department of Human Resources 
Leon McNair v. Department of Human Resources 
Edwin A. Clarke v. Department of Human Resources 
Wolfgang R. Walker v. Department of Human Resources 
Wyatt Roseboro v. Department of Human Resources 
Lloyd Lane Speake v. Department of Human Resources 
Raymond E. Dresser v. Department of Human Resources 



Chess 



Reilly 
Reilly 



05/16/95 



Nesnow 


08/11/95 


Becton 


09/13/95 


Reilly 


08/14/95 



05/22/95 
05/22/95 



91 CSE 1103 


Morrison 


03/03/95 


92 CSE 1449 


Reilly 


03/29/95 


92 CSE 1559 


Reilly 


03/29/95 


93 CSE 1088 


Chess 


03/20/95 


93 CSE 1111 


Becton 


07/12/95 


93 CSE 1123* 5 


Reilly 


05/16/95 


93 CSE 1169 


Chess 


03/08/95 


93 CSE 1187 


Reilly 


06/30/95 


93 CSE 1208 


Chess 


03/08/95 


93 CSE 1209 


Mann 


08/11/95 


93 CSE 1255 


Morrison 


06/12/95 


93 CSE 1268 


Chess 


03/08/95 


93 CSE 1270*'° 


Becton 


07/28/95 


93 CSE 1272 


Gray 


06/26/95 


93 CSE 1295 


Chess 


03/08/95 


93 CSE 1317 


Becton 


04/04/95 


93 CSE 1319 


Chess 


03/08/95 


93 CSE 1374 


Gray 


04/28/95 


93 CSE 1423 


Becton 


04/25/95 


93 CSE 1451 


Chess 


03/22/95 


93 CSE 1459 


Reilly 


06/23/95 



10:06 NCR 409 



( 



i 



1194 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



AGENCY 



Terry L. Yoder v. Department of Human Resources 

Ronald E. Lewis v. Department of Human Resources 

Richard L. Hiott v. Department of Human Resources 

Cecil Ray Hinshaw v. Department of Human Resources 

Terry C. Brown v. Department of Human Resources 

Paul R. Johnson v. Department of Human Resources 

Henry C. Banks v. Department of Human Resources 

Lucille B. Dutter v. Department of Human Resources 

Charles Bascom Kiker v. Department of Human Resources 

Mandel Curry Edwards v. Department of Human Resources 

Tony M. Tart v. Department of Human Resources 

Wade E. Hampton v. Department of Human Resources 

Cecedrick Scott v. Department of Human Resources 

Gary Jay Stocks v. Department of Human Resources 

Paul E. Strawcutter v. Department of Human Resources 

John L. Osborne (Jr.) v. Department of Human Resources 

Richard L. Garver v. Department of Human Resources 

Jerry Glasper v. Department of Human Resources 

Cary G. Dannelly v. Department of Human Resources 

Robert G. Baker v. Department of Human Resources 

Tyrone Waddell v. Department of Human Resources 

Robert R. Thomas v. Department of Human Resources 

Bernard T. Wade v. Department of Human Resources 

Robert Earl White v. Department of Human Resources 

Willie Scott v. Department of Human Resources 

Rochester Levi Jones v. Department of Human Resources 

Timothy Brian Eller v. Department of Human Resources 

Morgan Pate, Jr. v. Department of Human Resources 

Robert E. Dudley, Sr. v. Department of Human Resources 

Julian Lattimore v. Department of Human Resources 

James McFadden v. Department of Human Resources 

Wesley B. Meggs v. Department of Human Resources 

Anthony D. McCain v. Department of Human Resources 

John C. Kay v. Department of Human Resources 

Raymond B. Clontz Jr. v. Department of Human Resources 

James C. Rogers v. Department of Human Resources 

Ruby Fewell Henry v. Department of Human Resources 

Michael Leon McCain v. Department of Human Resources 

James A. Honer v. Department of Human Resources 

George C. Flowers v. Department of Human Resources 

Kendrick William Sims v. Department of Human Resources 

Carl E. Coffey v. Department of Human Resources 

Michael W. Bowen v. Department of Human Resources 

Roderick J. Smith v. Department of Human Resources 

Richard Dill v. Department of Human Resources 

James E. Freeman v. Department of Human Resources 

Jonathan D. Cauthen v. Department of Human Resources 

Ronnie J. Go ins v. Department of Human Resources 

Ted C. Jenkins v. Department of Human Resources 

Anthony J. Gibbons v. Department of Human Resources 

Robert Wilson v. Department of Human Resources 

Grant Jules Marks v. Department of Human Resources 

Aaron C. Harris v. Department of Human Resources 

Donald L. Costello Sr. v. Department of Human Resources 

Kelvin L. Lankford v. Department of Human Resources 

Jeffrey Thomas Chambers v. Department of Human Resources 

Robert J. Holden v. Department of Human Resources 

Janet M. Johnson v. Department of Human Resources 

Michael L. Wright v. Department of Human Resources 

Terry S. Gurganus v. Department of Human Resources 

John Napoleon Window Cross Pullium v. Dept of Human Resources 

Charles F. Haag Jr. v. Department of Human Resources 

Michael J. Montroy v. Department of Human Resources 

Linton Durante v. Department of Human Resources 

Timothy Rex Waddell v. Department of Human Resources 

Clarence Benjamin Banks Jr. v. Department of Human Resources 

Warren M. Williams v. Department of Human Resources 

Dennis L. Moore v. Department of Human Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


93 CSE 1498 


Nesnow 


06/02/95 




93 CSE 1508 


Mann 


05/18/95 




93 CSE 1509 


Mann 


04/21/95 




93 CSE 1513 


Gray 


05/08/95 




93 CSE 1516 


Morrison 


05/08/95 




93 CSE 1546 


Gray 


06/27/95 




93 CSE 1556 


Chens 


03/22/95 




93 CSE 1558 


Chess 


03/13/95 




93 CSE 1561 


Mann 


04/21/95 




93 CSE 1566* s 


Gray 


05/31/95 




93 CSE 1588 


Becton 


06/08/95 




93 CSE 1593 


Chess 


04/20/95 




93 CSE 1651 


Chess 


07/20/95 




93 CSE 1652 


Chess 


03/21/95 




93 CSE 1713 


Mann 


03/13/95 




94 CSE 0140 


Mann 


05/30/95 




94 CSE 0512 


Becton 


06/12/95 




94 CSE 1016 


Nesnow 


07/21/95 




94 CSE 1033 


Nesnow 


03/24/95 




94 CSE 1094 


Chess 


03/06/95 




94 CSE 1096 


Mann 


05/30/95 




94 CSE 1100 


Becton 


07/28/95 




94 CSE 1101 


Becton 


04/03/95 




94 CSE 1102 


Chess 


08/08/95 




94 CSE 1109 


Chess 


06/28/95 




94 CSE 1116 


Chess 


05/15/95 




94 CSE 1119 


Reilly 


03/29/95 




94 CSE 1127 


Mann 


03/20/95 




94 CSE 1128 


Mann 


03/31/95 




94 CSE 1131 


Reilly 


03/13/95 




94 CSE 1 132 


West 


03/14/95 




94 CSE 1137 


Gray 


08/09/95 




94 CSE 1141 


Nesnow 


05/16/95 




94 CSE 1143 


Chess 


04/13/95 




94 CSE 1149 


Nesnow 


03/03/95 




94 CSE 1153 


Gray 


04/04/95 




94 CSE 1157 


Nesnow 


03/16/95 




94 CSE 1158 


Becton 


05/16/95 




94 CSE 1160 


Mann 


08/03/95 




94 CSE 1184 


Mann 


05/02/95 




94 CSE 1186 


Chess 


05/01/95 




94 CSE 1191 


West 


05/25/95 




94 CSE 1192 


Nesnow 


07/21/95 




94 CSE 1193 


Becton 


06/26/95 




94 CSE 1195 


Mann 


03/29/95 




94 CSE 1199 


West 


07/18/95 




94 CSE 1213 


Chess 


06/01/95 




94 CSE 1214 


Chess 


06/01/95 




94 CSE 1218 


Gray 


03/15/95 




94 CSE 1219 


Gray 


03/15/95 




94 CSE 1220 


Gray 


07/21/95 




94 CSE 1222 


Morrison 


06/13/95 




94 CSE 1225 


Reilly 


04/10/95 




94 CSE 1228 


West 


03/17/95 




94 CSE 1229 


West 


03/17/95 




94 CSE 1231 


Nesnow 


03/03/95 




94 CSE 1232 


Nesnow 


03/15/95 




94 CSE 1236 


Mann 


06/02/95 




94 CSE 1237 


Gray 


03/15/95 




94 CSE 1239 


Gray 


03/02/95 




94 CSE 1241 


Gray 


03/15/95 




94 CSE 1242 


Gray 


05/31/95 




94 CSE 1244 


Morrison 


03/13/95 




94 CSE 1245 


Morrison 


06/26/95 




94 CSE 1246 


Morrison 


06/26/95 




94 CSE 1247 


Morrison 


05/17/95 




94 CSE 1248 


Morrison 


07/11/95 




94 CSE 1249 


Morrison 


03/02/95 





10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1195 



CONTESTED CASE DECISIONS 



AGENCY 



Dennis W. Cashion v. Department of Human Resources 

John Carroll Rodgcre v. Department of Human Resources 

James Edward Knox, Jr. v. Department of Human Resources 

Kimberly M. Rinaldi, Robert L. RinaJdi v. Dept. of Human Resources 

David House v. Department of Human Resources 

Jerry Wayne Blanton v. Department of Human Resources 

Antonio Staton v. Department of Human Resources 

Aqustin S. Sanchez v. Department of Human Resources 

Fred Carter Jr. v. Department of Human Resources 

Ricky Ratliff v. Department of Human Resources 

Willie McNeil Jr. v. Department of Human Resources 

Ray Douglas Brickhouse v. Department of Human Resources 

Tyron G. Moore v. Department of Human Resources 

Paul A. Card v. Department of Human Resources 

James P. Barton, HI v. Department of Human Resources 

Darrin Yancey v. Department of Human Resources 

Douglas L. Lucas v. Department of Human Resources 

Gregory D. Simpson V. Department of Human Resources 

Lewis A. Garris v. Department of Human Resources 

Michael Lynn Avery v. Department of Human Resources 

Elvis M. Graham v. Department of Human Resources 

Shawn Fonville v. Department of Human Resources 

David Allan Blan v. Department of Human Resources 

James Lee, Jr. v. Department of Human Resources 

Noah L. Houston, Sr. v. Department of Human Resources 

Wilma Lee Burton v. Department of Human Resources 

Shannon Vanderaa v. Department of Human Resources 

Anthony Murray v. Department of Human Resources 

Carl J. McGuire v. Department of Human Resources 

Tommy L. Burchfield v. Department of Human Resources 

Virgil L. Newby v. Department of Human Resources 

Gregory A. Rodrigues v. Department of Human Resources 

Nelson D. Edmonds V. Department of Human Resources 

Larry R. Bales v. Department of Human Resources 

Karl Philip Jursen v. Department of Human Resources 

David Harrington v. Department of Human Resources 

Sterling Womack v. Department of Human Resources 

Hubert Bowe v. Department of Human Resources 

Edward Fitch v. Department of Human Resources 

Otis Lewis Jr. v. Department of Human Resources 

Robert F. Catoe Jr. v. Department of Human Resources 

William Anthony Winchester v. Department of Human Resources 

Aaron L. Clark v. Department of Human Resources 

Vincent R. Valles Sr. v. Department of Human Resources 

Gary W. Gibson v. Department of Human Resources 

Mark A. West v. Department of Human Resources 

John E. Bolas Jr. v. Department of Human Resources 

Gary C. W'iggins v. Department of Human Resources 

Rhonnie J. Williams v. Department of Human Resources 

Danny Ray Hensley v. Department of Human Resources 

Stanley Moore v. Department of Human Resources 

Rawn Weigel v. Department of Human Resources 

David C. Glenn v. Department of Human Resources 

Marc F. Carboni v. Department of Human Resources 

Ivy M. Harvell v. Department of Human Resources 

Terry L. McMillon v. Department of Human Resources 

Garry G. Hickman v. Department of Human Resources 

Willie Herring v. Department of Human Resources 

Joe C. Dean v. Department of Human Resources 

Jimmie E. Barnes v. Department of Human Resources 

Cecilia Carmosino v. Department of Human Resources 

Marvin F. Walker v. Department of Human Resources 

Richard J. Almeida v. Department of Human Resources 

Gary E. Mills v. Department of Human Resources 

Michael R. French v. Department of Human Resources 

W r illiam R. Casey v. Department of Human Resources 

John A. Jackson v. Department of Human Resources 

Michael R. Roberts v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


94 CSE 


1250 


Morrison 


07/10/95 


94 CSE 


1251 


Reilly 


05/18/95 


94 CSE 


1254 


Reilly 


03/13/95 


94 CSE 


1255 


Reilly 


05/18/95 


94 CSE 


1256 


Reilly 


03/15/95 


94 CSE 


1257 


Reilly 


08/11/95 


94 CSE 


1258 


West 


07/21/95 


94 CSE 


1259 


West 


03/06/95 


94 CSE 


1260 


West 


05/22/95 


94 CSE 


1261 


West 


03/17/95 


94 CSE 


1262 


West 


03/17/95 


94 CSE 


1263 


West 


03/17/95 


94 CSE 


1264 


West 


03/17/95 


94 CSE 


1266 


Nesnow 


03/13/95 


94 CSE 


1267 


Nesnow 


06/02/95 


94 CSE 


1269 


Nesnow 


03/15/95 


94 CSE 


1270 


Nesnow 


03/15/95 


94 CSE 


1272 


Becton 


03/15/95 


94 CSE 


1273 


Becton 


07/28/95 


94 CSE 


1274 


Bee ton 


03/15/95 


94 CSE 


1275 


Becton 


03/15/95 


94 CSE 


1277 


Becton 


03/06/95 


94 CSE 


1279 


Chess 


07/26/95 


94 CSE 


1280 


Chess 


04/10/95 


94 CSE 


1284 


Chess 


04/26/95 


94 CSE 


1285 


Chess 


07/12/95 


94 CSE 


1286 


Mann 


03/21/95 


94 CSE 


1287 


Mann 


03/21/95 


94 CSE 


1288 


Mann 


08/03/95 


94 CSE 


1289 


Mann 


03/21/95 


94 CSE 


1290 


Mann 


08/11/95 


94 CSE 


1300 


Mann 


03/21/95 


94 CSE 


1301 


Gray 


07/27/95 


94 CSE 1302 


Gray 


03/02/95 


94 CSE 


1303 


Gray 


03/15/95 


94 CSE 


1304 


Morrison 


05/22/95 


94 CSE 


1305 


Morrison 


05/18/95 


94 CSE 


1308 


Mann 


05/18/95 


94 CSE 


1313 


Mann 


05/02/95 


94 CSE 


1314 


Mann 


03/21/95 


94 CSE 


1329 


Morrison 


03/15/95 


94 CSE 


1331 


Reilly 


03/15/95 


94 CSE 


1332 


Reilly 


03/15/95 


94 CSE 


1333 


West 


03/17/95 


94 CSE 


1334 


West 


03/06/95 


94 CSE 


1335 


West 


03/17/95 


94 CSE 


1336 


Nesnow 


03/15/95 


94 CSE 


1338 


Nesnow 


03/15/95 


94 CSE 


1339 


Becton 


03/15/95 


94 CSE 


1340 


Becton 


03/15/95 


94 CSE 


1341 


Becton 


07/28/95 


94 CSE 


1342 


Chess 


05/22/95 


94 CSE 


1343 


Chess 


04/20/95 


94 CSE 


1344 


Chess 


06/01/95 


94 CSE 


1345 


Mann 


03/21/95 


94 CSE 


1346 


Mann 


03/21/95 


94 CSE 


1348 


Gray 


03/15/95 


94 CSE 


1350 


Morrison 


03/02/95 


94 CSE 


1351 


Morrison 


03/15/95 


94 CSE 


1352 


Reilly 


03/03/95 


94 CSE 


1354 


West 


03/17/95 


94 CSE 


1355 


West 


03/17/95 


94 CSE 


1357 


Nesnow 


03/15/95 


94 CSE 


1358 


Becton 


08/29/95 


94 CSE 


1359 


Becton 


03/15/95 


94 CSE 


1369 


Mann 


05/02/95 


94 CSE 


1370 


Mann 


03/07/95 


94 CSE 


1371 


Mann 


03/21/95 



PUBLISHED DECISION 
REGISTER CITATION 



1196 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



AGENCY 



Kevin R. Nienke v. Department of Human Resources 

Cleothis B. Smith v. Department of Human Resources 

Leroy Johnson Jr. v. Department of Human Resources 

James Patterson v. Department of Human Resources 

Thomas Colon v. Department of Human Resources 

Walter Swirniak Jr. v. Department of Human Resources 

Michael R. Strong v. Department of Human Resources 

Marion Rodriguez v. Department of Human Resources 

Van Edward Arrington v. Department of Human Resources 

Jerry L. White Sr. v. Department of Human Resources 

Dennis James Grimes v. Department of Human Resources 

Scott John Tozzi v. Department of Human Resources 

Wylie Norris Cooper Jr. v. Department of Human Resources 

Roger A. Eaton v. Department of Human Resources 

Willie J. Flowers Jr. v. Department of Human Resources 

Jeffrey James Spence v. Department of Human Resources 

Byron C. Alston v. Department of Human Resources 

Oliver Lee Wolfe Sr. v. Department of Human Resources 

James Tracy Strickland v. Department of Human Resources 

Michael K. Reese v. Department of Human Resources 

Albert D. Johnson v. Department of Human Resources 

Johnny A. Stroud v. Department of Human Resources 

Richard G. Med ford, Jr. v. Department of Human Resources 

Theresa Strader v. Department of Human Resources 

James F Williams v. Department of Human Resources 

John Bell Shelton v. Department of Human Resources 

Kennedy C. Uzomba v. Department of Human Resources 

Marion A. Ward v. Department of Human Resources 

Robert H. Owens v. Department of Human Resources 

Samuel A. Lewis v. Department of Human Resources 

Robert Lee Wall v. Department of Human Resources 

James M. Breaden Jr. v. Department of Human Resources 

Peter G. Coley v. Department of Human Resources 

Benjamin Nuriddin v. Department of Human Resources 

Robert L. Carter v. Department of Human Resources 

Danny Columbus Baker v. Department of Human Resources 

Duke William Dupre' v. Department of Human Resources 

Audrey Jennings v. Department of Human Resources 

Robert S. Moore v. Department of Human Resources 

Michael A. Camp v. Department of Human Resources 

Martin J. Miller v. Department of Human Resources 

Steven L. Cox v. Department of Human Resources 

Michael P. Cleary v. Department of Human Resources 

Willie Cherry, Jr. v. Department of Human Resources 

Michael D. Guyther v. Department of Human Resources 

Charlie Sturdivani v. Department of Human Resources 

William V. Glennon v. Department of Human Resources 

Alaster Williams v. Department of Human Resources 

Henry L. Gibbs v. Department of Human Resources 

Roger Gene Fehlhaber v. Department of Human Resources 

Donald Ray Solis v. Department of Human Resources 

Lawrence Dow Dean v. Department of Human Resources 

Beau L. Miller v. Department of Human Resources 

Claude E. Alston v. Department of Human Resources 

Elizabeth F. West v. Department of Human Resources 

John H. Underwood v. Department of Human Resources 

James T. Dudley Jr. v. Department of Human Resources 

Cornelius L. Jones v. Department of Human Resources 

Lori Davis Humphrey v. Department of Human Resources 

Robert L. Free land, Jr. v. Department of Human Resources 

Antonio Darden (IV-D #1237637) v. Department of Human Resources 

Antonio Darden (IV-D #1280116) v. Department of Human Resources 

Antonio Darden (IV-D #1233347) v. Department of Human Resources 

Leonard Keith Morgan v. Department of Human Resources 

Michael Shannon v. Department of Human Resources 

Scott Thackrah v. Department of Human Resources 

Cyrus R. Luallen v. Department of Human Resources 

Harold Dean Horn v. Department of Human Resources 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


94 CSE 1372 


Gray 


07/18/95 




94 CSE 1373 


Gray 


03/15/95 




94 CSE 1377 


Mann 


03/31/95 




94 CSE 1378 


Morrison 


03/15/95 




94 CSE 1379 


Reilly 


03/15/95 




94 CSE 1382 


West 


03/17/95 




94 CSE 1383 


West 


07/18/95 




94 CSE 1385 


Nesnow 


03/03/95 




94 CSE 1386 


West 


07/18/95 




94 CSE 1387 


Nesnow 


03/15/95 




94 CSE 1388 


Becton 


03/15/95 




94 CSE 1389 


Bee ton 


03/15/95 




94 CSE 1391 


Mann 


08/30/95 




94 CSE 1392 


Gray 


03/09/95 




94 CSE 1393 


Morrison 


03/15/95 




94 CSE 1394 


Reilly 


03/15/95 




94 CSE 1396 


Nesnow 


03/03/95 




94 CSE 1397 


Mann 


03/31/95 




94 CSE 1398 


Mann 


03/31/95 




94 CSE 1412 


Gray 


03/31/95 




94 CSE 1413 


Gray 


06/26/95 




94 CSE 1414 


Gray 


06/27/95 




94 CSE 1415 


Morrison 


03/02/95 




94 CSE 1416 


Morrison 


03/21/95 




94 CSE 1417 


Morrison 


03/21/95 




94 CSE 1419 


Morrison 


06/26/95 




94 CSE 1420 


Reilly 


04/03/95 




94 CSE 1421 


Reilly 


03/03/95 




94 CSE 1423 


Reilly 


06/02/95 




94 CSE 1424 


Reilly 


04/03/95 




94 CSE 1425 


West 


03/31/95 




94 CSE 1426 


West 


03/31/95 




94 CSE 1427 


West 


03/31/95 




94 CSE 1429 


West 


03/31/95 




94 CSE 1430 


Nesnow 


03/24/95 




94 CSE 1431 


Nesnow 


03/24/95 




94 CSE 1432 


Nesnow 


03/24/95 




94 CSE 1433 


Nesnow 


03/24/95 




94 CSE 1434 


Nesnow 


07/11/95 




94 CSE 1435 


Becton 


03/06/95 




94 CSE 1436 


Becton 


03/06/95 




94 CSE 1437 


Becton 


07/28/95 




94 CSE 1438 


Becton 


07/05/95 




94 CSE 1439 


Chess 


03/03/95 




94 CSE 1441 


Chess 


07/18/95 




94 CSE 1442 


Chess 


06/29/95 




94 CSE 1444 


Mann 


03/07/95 




94 CSE 1445 


Gray 


03/02/95 




94 CSE 1446 


Morrison 


03/21/95 




94 CSE 1447 


Reilly 


04/03/95 




94 CSE 1449 


Nesnow 


07/26/95 




94 CSE 1450 


Gray 


06/09/95 




94 CSE 1452 


West 


03/07/95 




94 CSE 1454 


Nesnow 


04/17/95 




94 CSE 1455 


Nesnow 


03/07/95 




94 CSE 1456 


Nesnow 


04/17/95 




94 CSE 1457 


Nesnow 


04/28/95 




94 CSE 1458 


Nesnow 


08/10/95 




94 CSE 1459 


Becton 


03/06/95 




94 CSE 1460 


Becton 


04/07/95 




94 CSE 1461 


Becton 


04/07/95 




94 CSE 1462 


Becton 


04/07/95 




94 CSE 1463 


Becton 


04/07/95 




94 CSE 1464 


Chess 


08/15/95 




94 CSE 1466 


Chess 


06/09/95 




94 CSE 1468 


Chess 


07/20/95 




94 CSE 1470 


Mann 


03/31/95 




94 CSE 1471 


Mann 


03/07/95 





10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1197 



CONTESTED CASE DECISIONS 



AGENCY 



James B. Miller v. Department of Human Resources 

Glenn Allison v. Department of Human Resources 

Louis R. Salamone v. Department of Human Resources 

Lee R. Jones v. Department of Human Resources 

Randy Norris Willis v. Department of Human Resources 

Michael E. Bellamy v. Department of Human Resources 

Eddie James Johnson v. Department of Human Resources 

Coley C. Matthews v. Department of Human Resources 

Willie J. Gadson v. Department of Human Resources 

Joseph K. Gatewood v. Department of Human Resources 

Donald Lee Barcliff v. Department of Human Resources 

James W. Nunnery v. Department of Human Resources 

Terrance Freeman v. Department of Human Resources 

William Leroy Watkins v. Department of Human Resources 

Bailey White v. Department of Human Resources 

Shannon Woodall v. Department of Human Resources 

Peter Ian Oliveira v. Department of Human Resources 

Ronald E. Lewis v. Department of Human Resources 

Wesley Kelvin Cook v. Department of Human Resources 

Everett Lee Hunt v. Department of Human Resources 

Kenneth W. Cahoon v. Department of Human Resources 

Ricky S. Blake v. Department of Human Resources 

Rick E. Atkins v. Department of Human Resources 

Timothy James Burnett v. Department of Human Resources 

Carlos L. Robinson v. Department of Human Resources 

Eddie O. Toro v. Department of Human Resources 

Timothy Mark Johnson v. Department of Human Resources 

Alan W. Karsner v. Department of Human Resources 

Walter J. Sturdivant v. Department of Human Resources 

Volna Ramone Gales v. Department of Human Resources 

Bruce Kelly Jacobs v Department of Human Resources 

Tony Collins v. Department of Human Resources 

Ronald O. Biggs v. Department of Human Resources 

Keith Dewayne Sentere v. Department of Human Resources 

Walter E. Champion Jr. v. Department of Human Resources 

Manin B. Harris v. Department of Human Resources 

Jay C. Edwards, III v. Department of Human Resources 

William Hyman v. Department of Human Resources 

Mahalon E. White v. Department of Human Resources 

DennJB Ray Alexander v. Department of Human Resources 

Joseph R. 8l Linda M, Grooms v. Department of Human Resources 

Robert M. Martin v. Department of Human Resources 

Ashton Berry Gatlin v. Department of Human Resources 

Louis Cragg ID v. Department of Human Resources 

Dennis Micheal Sanders v. Department of Human Resources 

Anthony Bonini v. Department of Human Resources 

Jerry Wallace v. Department of Human Resources 

John D. Twine Sr. v. Department of Human Resources 

David A. Gaskins v. Department of Human Resources 

Kevin Ervin Kelley v. Department of Human Resources 

Nathaniel Ashford v. Department of Human Resources 

Ellen Downing v. Department of Human Resources 

Charles R. Hauley v. Department of Human Resources 

Michael L. Schadler v. Department of Human Resources 

Owen B. Fisher Jr. v. Department of Human Resources 

Robin Delmar Goods v. Department of Human Resources 

Julio Alvarado Jr. v. Department of Human Resources 

Thomas A. Morgan v. Department of Human Resources 

Terrence R. McLaughlin v. Department of Human Resources 

Johnnie V. Johnson v. Department of Human Resources 

Ward F. Miller v. Department of Human Resources 

Joel P. Roth v. Department of Human Resources 

Atward T Warren v. Department of Human Resources 

Monte Harwell v. Department of Human Resources 

Albert Noah Dunlap v. Department of Human Resources 

James E. Davis v. Department of Human Resources 

Roger T. Benoy v. Department of Human Resources 

Spencer P. Johnson v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AU 


DECISION 


94 CSE 1472 


Mann 


03/07/95 


94 CSE 1473 


Gray 


03/02/95 


94 CSE 1474 


Gray 


03/09/95 


94 CSE 1475 


Gray 


05/19/95 


94 CSE 1476 


Morrison 


03/21/95 


94 CSE 1477 


Morrison 


03/02/95 


94 CSE 1478 


Morrison 


03/02/95 


94 CSE 1479 


Morrison 


03/21/95 


94 CSE 1480 


Reilly 


04/10/95 


94 CSE 1481 


Rally 


06/26/95 


94 CSE 1482 


Reilly 


04/10/95 


94 CSE 1484 


Nesnow 


04/17/95 


94 CSE 1485 


Nesnow 


07/11/95 


94 CSE 1486 


Neenow 


04/17/95 


94 CSE 1487 


Nesnow 


05/23/95 


94 CSE 1488 


Becton 


07/18/95 


94 CSE 1489 


Becton 


03/07/95 


94 CSE 1491 


Becton 


03/07/95 


94 CSE 1492 


Becton 


04/07/95 


94 CSE 1493 


Chess 


06/01/95 


94 CSE 1494 


Chess 


07/12/95 


94 CSE 1495 


Chess 


06/22/95 


94 CSE 1496 


Chess 


06/28/95 


94 CSE 1498 


Chess 


07/20/95 


94 CSE 1499 


Mann 


03/31/95 


94 CSE 1500 


Mann 


03/31/95 


94 CSE 1502 


Mann 


05/02/95 


94 CSE 1503 


Mann 


05/02/95 


94 CSE 1504 


Gray 


06/26/95 


94 CSE 1505 


Gray 


04/07/95 


94 CSE 1508 


Gray 


03/31/95 


94 CSE 1511 


Gray 


03/02/95 


94 CSE 1512 


Gray 


04/07/95 


94 CSE 1513 


Gray 


04/28/95 


94 CSE 1515 


Morrison 


08/04/95 


94 CSE 1533 


Morrison 


03/02/95 


94 CSE 1534 


Morrison 


04/06/95 


94 CSE 1535 


Morrison 


06/26/95 


94 CSE 1537 


Morrison 


04/06/95 


94 CSE 1538 


Reilly 


03/03/95 


94 CSE 1539 


Reilly 


03/07/95 


94 CSE 1541 


Reilly 


03/07/95 


94 CSE 1542 


Reilly 


04/10/95 


94 CSE 1543 


West 


03/06/95 


94 CSE 1544 


West 


06/23/95 


94 CSE 1545 


West 


07/18/95 


94 CSE 1546 


West 


08/25/95 


94 CSE 1547 


West 


07/18/95 


94 CSE 1548 


West 


05/22/95 


94 CSE 1549 


Nesnow 


06/02/95 


94 CSE 1551 


Nesnow 


07/26/95 


94 CSE 1553 


Nesnow 


03/30/95 


94 CSE 1554 


Becton 


03/07/95 


94 CSE 1555 


Becton 


03/07/95 


94 CSE 1562 


Becton 


04/07/95 


94 CSE 1563 


Becton 


04/07/95 


94 CSE 1564 


Becton 


05/22/95 


94 CSE 1567 


Chess 


06/02/95 


94 CSE 1569 


Chess 


03/07/95 


94 CSE 1570 


Chess 


06/28/95 


94 CSE 1571 


Chess 


04/19/95 


94 CSE 1572 


West 


03/14/95 


94 CSE 1573 


West 


03/31/95 


94 CSE 1576 


West 


07/18/95 


94 CSE 1577 


Reilly 


04/10/95 


94 CSE 1578 


Reilly 


04/10/95 


94 CSE 1579 


Reilly 


03/03/95 


94 CSE 1580 


Reilly 


04/10/95 



PUBLISHED DECISION 
REGISTER CITATION 



1198 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



AGENCY 



James A. Bryant v. Department of Human Resources 
Conrade Dunklin v. Department of Human Resources 
Kenneth J. Balfour v. Department of Human Resources 
Tony Thomas v. Department of Human Resources 
Willie A. Harris v. Department of Human Resources 
Walter T. Townsend Jr. v. Department of Human Resources 
Martin A. Greene v. Department of Human Resources 
Dennis W. Nolan v. Department of Human Resources 
Roderick Odell Adams v. Department of Human Resources 
Jonathan L. Payne II v. Department of Human Resources 
Charles Scott Wilhoit v. Department of Human Resources 
Mickey Bridgett v. Department of Human Resources 
John Kimmons v. Department of Human Resources 
Randolph J. Nunn v. Department of Human Resources 
David Lester Gordon v. Department of Human Resources 
Larry James Walker, Jr. v. Department of Human Resources 
Wade A. Burgess v. Department of Human Resources 
Gary Jones v. Department of Human Resources 
Anthony Harrison v. Department of Human Resources 
Eddie L. Oliver III v. Department of Human Resources 
Michael D. Tyree v. Department of Human Resources 
Edward Fisher v. Department of Human Resources 
Leroy Jones v. Department of Human Resources 
Bernard Cooper v. Department of Human Resources 
William Gray v. Department of Human Resources 
Edward Lockhart v. Department of Human Resources 
Duane B. Marsh burn v. Department of Human Resources 
Jimmy R. Jackson v. Department of Human Resources 
Mark A. Jones v. Department of Human Resources 
Ondino Damota Freitas v. Department of Human Resources 
Tony Monzell Perry v. Department of Human Resources 
Frank M. Swett v. Department of Human Resources 
James B. Stokes Jr. v. Department of Human Resources 
Edith Christine Spurlock v. Department of Human Resources 
Andrew P. Jergens v. Department of Human Resources 
Nelson Bennett v. Department of Human Resources 
Eric L. McDonald v. Department of Human Resources 
Kevin Close v. Department of Human Resources 
Stephen L. Blankenship v. Department of Human Resources 
Herbert T. Robertson v. Department of Human Resources 
Kenny R. Bradshaw v. Department of Human Resources 
Eddie Harris Jr. v. Department of Human Resources 
Ronnie P. Stephens v. Department of Human Resources 
Anthony B. Gardner v. Department of Human Resources 
Timothy C. Okeke v. Department of Human Resources 
Lewis M. Scarborough v. Department of Human Resources 
Manuel F. Isla v. Department of Human Resources 
Robert Larry Martin v. Department of Human Resources 
Dwane M. Williams v. Department of Human Resources 
Joseph O. Evans v. Department of Human Resources 
Donald E. Kirby v. Department of Human Resources 
Darell D. Gautier v. Department of Human Resources 
Paul R. Ross v. Department of Human Resources 
Bobby Dain Maesey v. Department of Human Resources 
Mandel Curry Edwards v. Department of Human Resources 
Carol Jeanne Deese v. Department of Human Resources 
James Wright Jr. v. Department of Human Resources 
Joyce Ann Wilkinson v. Department of Human Resources 
Levern Wilson, Jr. v. Department of Human Resources 
Michael A. Bradford v. Department of Human Resources 
Clayman R. Norfleet v. Department of Human Resources 
Johnny C. Cole v. Department of Human Resources 
Rasoul Behboudi v. Department of Human Resources 
David L. Hill v. Department of Human Resources 
Keith Matthews v. Department of Human Resources 
Ernest N. Pruitt, Jr. v. Department of Human Resources 
Troy Cage v. Department of Human Resources 
Clyde R. Gaither v. Department of Human Resources 



CASE 




DATE OF 


NUMBER 


AU 


DECISION 


94 CSE 1582 


Morrison 


04/06/95 


94 CSE 1583 


Morrison 


04/06/95 


94 CSE 1584 


Morrison 


03/07/95 


94 CSE 1585 


Morrison 


07/26/95 


94 CSE 1586 


Morrison 


04/06/95 


94 CSE 1587 


Gray 


04/28/95 


94 CSE 1588 


Gray 


08/11/95 


94 CSE 1590 


Gray 


03/31/95 


94 CSE 1591 


Gray 


04/07/95 


94 CSE 1592 


Morrison 


04/06/95 


94 CSE 1594 


Rally 


04/21/95 


94 CSE 1595 


West 


05/08/95 


94 CSE 1596 


Nesnow 


04/17/95 


94 CSE 1608 


Mann 


03/21/95 


94 CSE 1609 


Mann 


03/13/95 


94 CSE 1610 


Chess 


06/01/95 


94 CSE 1611 


Chess 


06/09/95 


94 CSE 1612 


Chess 


07/12/95 


94 CSE 1615 


Becton 


04/07/95 


94 CSE 1616 


Becton 


07/10/95 


94 CSE 1619 


Becton 


04/07/95 


94 CSE 1621 


Becton 


04/07/95 


94 CSE 1622 


Nesnow 


07/05/95 


94 CSE 1623 


Nesnow 


04/17/95 


94 CSE 1645 


Becton 


04/25/95 


94 CSE 1646 


Chess 


06/02/95 


94 CSE 1647 


Mann 


08/03/95 


94 CSE 1648 


Gray 


03/09/95 


94 CSE 1649 


Morrison 


03/07/95 


94 CSE 1650 


Rally 


03/07/95 


94 CSE 1651 


West 


04/07/95 


94 CSE 1652* 5 


Reilly 


05/16/95 


94 CSE 1653 


Becton 


04/07/95 


94 CSE 1654 


Chess 


07/19/95 


94 CSE 1655 


Mann 


05/22/95 


94 CSE 1656 


Gray 


03/02/95 


94 CSE 1657 


Morrison 


04/06/95 


94 CSE 1677 


West 


08/10/95 


94 CSE 1678 


Becton 


07/28/95 


94 CSE 1679 


Chess 


06/28/95 


94 CSE 1700 


Reilly 


04/10/95 


94 CSE 1702 


Becton 


04/07/95 


94 CSE 1703 


Chess 


06/28/95 


94 CSE 1704 


Mann 


05/02/95 


94 CSE 1724 


Reilly 


08/08/95 


94 CSE 1725 


West 


05/25/95 


94 CSE 1749*'° 


Becton 


07/28/95 


94 CSE 1750 


Chess 


03/21/95 


94 CSE 1759 


Nesnow 


06/09/95 


94 CSE 1766 


Chess 


03/21/95 


94 CSE 1767 


Reilly 


03/03/95 


94 CSE 1768 


Mann 


08/03/95 


94 CSE 1778 


West 


03/06/95 


94 CSE 1798 


Gray 


04/27/95 


94 CSE 1799** 


Gray 


05/31/95 


94 CSE 1814 


Morrison 


04/27/95 


94 CSE 1826 


Nesnow 


07/11/95 


95 CSE 0071 


Becton 


04/04/95 


95 CSE 0073 


Chess 


06/28/95 


95 CSE 0116 


Mann 


05/25/95 


95 CSE 0117 


Morrison 


07/11/95 


95 CSE 0118 


Reilly 


06/22/95 


95 CSE 0147 


West 


05/18/95 


95 CSE 0200 


Becton 


08/29/95 


95 CSE 0205 


Chess 


07/19/95 


95 CSE 0206 


Phipps 


07/21/95 


95 CSE 0207 


Phipps 


07/26/95 


95 CSE 0208 


Phipps 


07/31/95 



PUBLISHED DECISION 
REGISTER CITATION 



10.13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1199 



CONTESTED CASE DECISIONS 



AGENCY 



Randy E. Baker v. Department of Human Resources 
James Glenn Locklear v. Department of Human Resources 
Walter Swirniak v. Department of Human Resources 
William Rann v. Department of Human Resources 
Inez Brown v. Department of Human Resources 
Matthew L. Ward v. Department of Human Resources 
Sanders Gilliard Hunter v. Department of Human Resources 
James A. Bishop Jr. v. Department of Human Resources 
Mark C. Bushrod v. Department of Human Resources 
Antoine D. Jones v. Department of Human Resources 
Bennie L. Little v. Department of Human Resources 
Derrick Leon Henry v. Department of Human Resources 
Raul A. Dinzey v. Department of Human Resources 
David Dean Davis v. Department of Human Resources 
Frank McGirt v. Department of Human Resources 
Kelly Thomas Felty v. Department of Human Resources 
Kelvin M. Tarlton V, Department of Human Resources 
Clarence O. Hilliard v. Department of Human Resources 
Larry James McGirt v. Department of Human Resources 
Alonzo Wilson v. Department of Human Resources 
Reginald Hill v. Department of Human Resources 
Rhonda D. Deaton v. Department of Human Resources 
Timothy W. Barber v. Department of Human Resources 
Rudolph C. Williams v. Department of Human Resources 
John K. Bostic v. Department of Human Resources 
Eva T. Wilson v. Department of Human Resources 
Robert Lee Smith, Jr. v. Department of Human Resources 
Dave L. James v. Department of Human Resources 
Robert Lee Bullock v. Department of Human Resources 
Augusta Hepburn v. Department of Human Resources 
Kenneth Walter Dudney v. Department of Human Resources 
Chris Brown v. Department of Human Resources 

Distribution Child Support 

Lisa J. Hill v. DHR, Div. of Social Svcs., Child Support Enf. Section 

Hoke Counts' Social Services 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


95 CSE 0226 


Nesnow 


07/28/95 


95 CSE 0229 


Phipps 


07/31/95 


95 CSE 0230 


West 


07/18/95 


95 CSE 0273 


Phipps 


06/27/95 


95 CSE 0279 


Phipps 


07/21/95 


95 CSE 0280 


Phipps 


06/27/95 


95 CSE 0284 


Phipps 


05/22/95 


95 CSE 0292 


Gray 


08/07/95 


95 CSE 0297 


Morrison 


07/26/95 


95 CSE 0300 


Reilly 


07/21/95 


95 CSE 0313 


Morrison 


07/21/95 


95 CSE 0321 


Chess 


07/17/95 


95 CSE 0344 


Mann 


08/03/95 


95 CSE 0350 


Phipps 


07/26/95 


95 CSE 0351 


Gray 


08/07/95 


95 CSE 0360 


Morrison 


08/07/95 


95 CSE 0370 


West 


07/26/95 


95 CSE 0371 


Reilly 


05/25/95 


95 CSE 0389 


Nesnow 


08/10/95 


95 CSE 0414 


Becton 


07/28/95 


95 CSE 0438 


Becton 


07/21/95 


95 CSE 0489 


Becton 


07/05/95 


95 CSE 0491 


Phipps 


08/07/95 


95 CSE 0492 


Gray 


07/18/95 


95 CSE 0493 


Nesnow 


08/02/95 


95 CSE 0520 


Reilly 


07/21/95 


95 CSE 0528 


West 


08/25/95 


95 CSE 0539 


Mann 


07/21/95 


95 CSE 0559 


Phipps 


07/31/95 


95 CSE 0573 


Gray 


08/28/95 


95 CSE 0575 


Morrison 


09/12/95 


95 CSE 0695 


Phipps 


08/25/95 



PUBLISHED DECISION 
REGISTER CITATION 



95 DCS 0239 



Phipps 



05/02/95 



Mr. and Mrs. William Jefferson v. Hoke Cry Soc Svcs, Linda Cromartie 95 DHR 0857 Gray 

Rockingham County Department of Social Senices 
Crystean Fields v. Rockingham County DSS 95 DHR 0316 Reilly 

Wake Count\ Social Senices 



08/17/95 



06/01/95 



Grace A. Wright v. Wake County Social Services., 
and Craig Glenn 

INSURANCE 



Suzanne Woodell 



94 DHR 1618 Chess 



05/03/95 



Grace F. WatJdns v. Teachers' & St. Emp. Comp. Major Med. Plan 94 INS 1639 

Billy Gene Campbell v. Department of Insurance 95 INS 0143 

Karen Wingert Bunch v. Teachers' & St. Emp. Comp. Major Med. Plan 95 INS 0243 

JUSTICE 



Chess 


05/24/95 


Reilly 


04/20/95 


Morrison 


07/21/95 



Alarm Systems Licensing Board 

Patrick P. Sassman v. Alarm Systems Licensing Board 94 DOJ 1825 

Chad R. Fuller v. Alarm Systems Licensing Board 95 DOJ 0716 

Education and Training Standards Division 

Ricky Dale McDevitt v. Sheriffs Ed. & Training Stds. Comm. 94 DOJ 1710 
Reginald Keith Goffington V. Ciminal Justice Ed. Si. Training Stds. Comm. 95 DOJ 0028 

Nervin Joseph DeDeaux v. Criminal Justice Ed. & Training Stds. Comm. 95 DOJ 0029 



Reilly 
West 



Nesnow 

Becton 

Reilly 



03/09/95 
08/18/95 



05/04/95 
06/08/95 
05/16/95 



10:05 NCR 324 



1200 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



AGENCY 



Tony Lament Blackmon v. Criminal Justice Ed. & Training Stds. Comm. 
Constance F. Lawrence v. Sheriffs Ed. & Training Stds. Comm. 
Alexander Douglas Jones v. Criminal Justice Ed. & Training Stds. Comm 
Marilyn Jean Britt v. Sheriff's Ed. &. Training Stds. Comm. 
Antonio Tremont Davis v. Sheriffs Ed. & Training Stds. Comm. 
Amy Rebecca Batcheler v. Sheriffs Ed. & Training Stds. Comm. 
Richard Dan Wuchte v. Criminal Justice Ed. & Training Stds. Comm. 
Henry Roger Judd v. Sheriffs Ed. & Training Stds. Comm. 
Jewel T. Bras well v. Criminal Justice Ed. & Training Stds. Comm. 
George H. Powell Jr. v. Criminal Justice Ed. & Training Stds. Comm. 
Mark Jason Smith v. Sheriffs Ed. & Training Stds. Comm. 
Jeffrey Andre Jenkins v. Criminal Justice Ed. & Training Stds. Comm. 

Private Protective Services Board 

Lewis Austin Saintsing v. Private Protective Services Board 
Marcus T. Williams v. Private Protective Services Board 
Melvin Ray Cooper v. Private Protective Services Board 
Donnell E, Morrow, Jr. v. Private Protective Services Board 
Private Protective Services Board v. James C. Purvis 
Private Protective Services Board v. Samuel O. Smith 
Jann Mitchell Stanley v. Private Protective Services Board 
Donald Wayne Clark v. Private Protective Services Board 
Richard Frank v. Private Protective Services Board 
Marvin E. Shackleford v. Private Protective Services Board 
Julius T. Fairley v. Private Protective Services Board 
James L. McLeary, Jr. v. Private Protective Services Board 
Bobby E. Smithey v. Private Protective Services Board 
Frederick B. Moore, Jr. v. Private Protective Services Board 
Daniel C. Inglese v. Private Protective Services Board 

LABOR 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


AU 


DECISION 


REGISTER CITATION 


95 DOJ 0043 


Reilly 


06/02/95 




95 DOJ 0076 


Morrison 


04/06/95 




95 DOJ 0101 


Monisoo 


06/13/95 


10:07 NCR 627 


95 DOJ 0172 


Gray 


08/03/95 




95 DOJ 0298 


Phipps 


08/08/95 




95 DOJ 0364 


West 


08/16/95 




95 DOJ 0401 


Nesnow 


06/07/95 




95 DOJ 0431 


Nesnow 


08/02/95 




95 DOJ 0730 


Phipps 


09/11/95 




95 DOJ 0784 


Phipps 


09/08/95 




95 DOJ 0795 


Gray 


08/14/95 




95 DOJ 1408 


Phipps 


07/31/95 





94 DOJ 1000 


Chess 


03/03/95 




94 DOJ 1064 


Chess 


02/24/95 




94 DOJ 1635 


Reilly 


03/09/95 




94 DOJ 1823 


Reilly 


03/09/95 




95 DOJ 0018 


Chess 


05/15/95 




95 DOJ 0133 


Chess 


05/09/95 




95 DOJ 0420 


Morrison 


05/24/95 




95 DOJ 0444 


Phipps 


07/14/95 


10:09 NCR 805 


95 DOJ 0610 


Phipps 


08/10/95 




95 DOJ 0611 


Phipps 


07/18/95 




95 DOJ 0612 


Phipps 


07/20/95 




95 DOJ 0613 


Phipps 


07/18/95 




95 DOJ 0717 


West 


08/23/95 


10:12 NCR 1039 


95 DOJ 0766 


Morrison 


09/01/95 




95 DOJ 0767 


Morrison 


08/30/95 





Occupational Safety & Health Division 

Lenoir County Public Schools v. Department of Labor, OSHA 95 DOL 0218 Nesnow 05/01/95 

Private Personnel Service Division 

Employment Consultants, Inc. v. Private Personnel Service Division 95 DOL 0209 Morrison 07/07/95 

Wage and Hour Division 

R.J. Scott, Pres. Pirate Enterprises, Inc. v. Labor, Wage & Hour Div. 94 DOL 1524 West 03/23/95 

PRACTICING PSYCHOLOGISTS 

John E. Miller v. Psychology Board 95 BPP 0629 Nesnow 09/12/95 

PUBLIC INSTRUCTION 



Glenn II, on behalf of Glenn II, and Glenn II, Individually v. Charlotte- 
Mecklenburg County Schools 

S.M. on Behalf of J. A.M., and S.M., Individually, and J.M. v. Davie 
County Board of Education 

William Hewett v. State Board of Education 

James Midgette v. State Board of Education 

Deborah R. Crouse v. State Board of Education 

Bobby G. Little v. Department of Public Instruction 

Tonya Marie Snipes and Robert Leon Snipes v. Orange County Schools 

Vance County Schools v. Haywood Yarborough 

Laverne K. Suggs v. Department of Public Instruction 

Lavern K. Suggs v. Guilford County Schools 

Kenneth G.H. Leftwich v. State Board of Education 

STATE BAR 

Phillip S. Banks, HI v. North Carolina State Bar 



93 EDC 0549 


Chess 


93 EDC 0742 


Phipps 


94 EDC 0533 


Gray 


94 EDC 1401 


Reilly 


95 EDC 0003 


Chess 


95 EDC 0168 


Phipps 


95 EDC 0225 


Mann 


95 EDC 0235 


Mann 


95 EDC 0384 


Nesnow 


95 EDC 0385 


Nesnow 


95 EDC 0405 


Nesnow 



95 BAR 0861 



Morrison 



03/16/95 

05/30/95 

03/31/95 
05/02/95 
04/10/95 
03/20/95 
05/15/95 
08/04/95 
07/12/95 
06/02/95 
05/25/95 



08/18/95 



10:02 NCR 179 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1201 



CONTESTED CASE DECISIONS 



AGENCY 

STATE PERSONNEL 

Caswell County Health Department 

Delia Brown v. Caswell County Health Department 
Julie R. Johnson v. Caswell County Health Department 

N.C. Central University 

Peter A. Fore v. N.C. Central University 

Department of Commerce 

T. Sherwood Jemigan v. Dept. of Commerce, Savings Institution Div. 

Department of Correction 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



94 
94 



OSP 0834 
OSP 0865 



93 OSP 0189 



94 OSP 0775 



Nancy Gilchrist v. Department of Correction 

Howard Gray Sadler v. Correction, Div. of Adult Probation/Parole 

Thomas Wayne Smathers v. Department of Correction 

George J. McClease, Jr. v. Department of Correction 

Nancy C. Walker v. Department of Correction 

Ruth Kearney v. Department of Correction 

Ann R. Fletcher v. Department of Correction 

James W. Hughes v. Department of Correction, Blue Ridge Unit Avery 95 

Dennis Harrell v. Department of Correction 

William E. Norwood, Jr. v. Department of Correction 

Department of Crime Control and Public Safety 

Betty Sue Whitley v. National Guard Dept. Crime Control & Public Safety94 
Robert W. Beasley v. Crime Control & Public Safety, St. Highway Patrol 94 



OSP 1399 
OSP 1821 



Office of the District Attorney 

Shannon Caudill v. Office of the District Attorney for Judicial 
District 17-B, and Administrative Office of the Courts 

Dorothea Dix Hospital 

Paul E. Hunter v. Dorothea Dix Hospital 

Durham County Health Department 

Laurie A. Gerhard v. Durham County Health Department 

East Carolina University 

Helen E. Wolfe v. East Carolina University, Dept. of Biology 

Lillie Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 

Lillie Mercer Atkinson v. ECU, Dept. of Comparative Medicine, et al. 

Edgecombe County Health Department 

Ronald E. Wooten v. Edgecome County Health Department 

Department of Environment, Health, and Natural Resources 

Babette K. McKemie v. EHNR, Div. of Environmental Management 

Fayetteville State University 

George Benstead v. Fayetteville State University 
Lt. Bobby McEachern v. FSU Police Department 
Officer Gregor A. Miles v. FSU Police Department 



95 OSP 0188 



95 OSP 0504 



95 OSP 0220 



Nesnow 
Reilly 



Ne8now 



West 



Chess 
Morrison 



Nesnow 



Gray 



Phipps 



94 OSP 1209 



94 OSP 0358 



Gray 



Chess 



06/12/95 
03/15/95 



06/13/95 



05/25/95 



06/13/95 
08/10/95 



03/20/95 



07/12/95 



08/17/95 



94 OSP 1558 


Reilly 


09/07/95 


95 OSP 0038* 7 


Becton 


06/08/95 


95 OSP 0057* 7 


Becton 


06/08/95 



07/10/95 



05/31/95 



94 OSP 1597 


Nesnow 


04/04/95 


95 OSP 0042*' 


Reilly 


07/05/95 


95 OSP 0058*' 


Reilly 


07/05/95 



i 



94 OSP 0121 


West 


03/09/95 




94 OSP 0332 


West 


05/15/95 




94 OSP 0590 


West 


03/23/95 




94 OSP 0644 


Gray 


04/19/95 




94 OSP 1206 


Gray 


08/18/95 




94 OSP 1807 


Becton 


03/13/95 




95 OSP 0123 


Chess 


08/21/95 




95 OSP 0334 


Becton 


07/25/95 




95 OSP 0440 


Phipps 


09/05/95 


10:13 NCR 1209 


95 OSP 0500 


Gray 


08/16/95 





10:11 NCR 965 



( 



10:12 NCR 1043 



< 



1202 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF PUBLISHED DECISION 

DECISION REGISTER CITATION 



94 OSP 0499 



Chess 



94 OSP 1758 


Nesnow 


06/07/95 


94 OSP 1811 


West 


05/04/95 


95 OSP 0138 


West 


03/31/95 



Forsyth Stokes Mental Health Center 

Michael Howell v. Forsyth Stokes Mental Health Center 

Department of Human Resources 

April Benfield v. Department of Human Resources 
and 
Western Carolina Center 
Eugene Hightower, Jr. v. Department of Human Resources, EEO 
Rebecca Johnson v. Human Resources, Special Care Center 

Black Mountain Center 



James Harrison v. Black Mountain Center, Dept. of Human Resources 94 OSP 0994*" Gray 
James Harrison v. Black Mountain Center, Dept. of Human Resources 95 OSP 0190*" Gray 



Cherry Hospital 

William H. Cooke v. DHR, Cherry Hospital 
Deloris L. Johnson v. Cherry Hospital, DHR 

Durham County Department of Social Services 
Delores H. Jeffers v. Durham County Department of Social Services 

Gaston County Department of Social Services 
Bobbie J. Gilliam v. Gaston County Department of Social Services 

Iredell County Department of Social Services 

Vernon E. Grosse v. Iredell County Department of Social Services 
Bonnie N. Bellamy v. Iredell County Department of Social Services 

Richmond County Department of Social Services 

Emma Jane Bradley v. Richmond County Dept. of Social Services 

Wake County Department of Health 



03/24/95 



93 OSP 1547 
95 OSP 0409 



94 OSP 0939 



94 OSP 0770 



94 OSP 0282 
94 OSP 0739 



95 OSP 0055 



Gray 
Gray 



Morrison 



West 



Becton 
Chess 



Reilly 



Regina K. Crowder v. Wake County/Health Dept., Caroline E. Lee, Dir. 94 OSP 1032*' Nesnow 
Sabrina R. Crowder v. Wake County/Health Dept., Richard Stevens 94 OSP 1072*' Nesnow 

Thomasine D. Avery v. Wake County/Health Department 94 OSP 1074** Nesnow 



Wake County Department of Social Services 
Olivia L. Jordan v. Wake County /Department of Social Services 
Department of Labor 
Michael Robert Smith v. Department of Labor 



94 OSP 1179*" Nesnow 



94 OSP 0610 



Nesnow 



Lee-Harnett Area Mental Health, Developmental Disabilities, and Substance Abuse Authority 



Julie Dyer v. Lee-Harnett Area MH/DD/SA Authority 

North Carolina Special Cart Center 

Lynn Banasiak Bass v. North Carolina Special Care Center 

North Carolina State University 

Artelia S. Clark v. N.C. State University 

Wesley Brown v. N.C. State University 

David L. Bauer v. North Carolina State University 

Billy Ray Kelly v. NCSU Physical Plant 

Heather Ann Waskiowicz v. NCSU, Dept. of Public Safety 



94 OSP 0750 



95 OSP 0419 



Gray 



Phipps 



89 OSP 0612 


Nesnow 


94 OSP 1173 


Reilly 


95 OSP 0044 


Morrison 


95 OSP 0130 


West 


95 OSP 0213 


Phipps 



07/31/95 
07/31/95 



03/16/95 
08/25/95 



06/12/95 



05/24/95 



03/09/95 
03/01/95 



07/18/95 



06/12/95 
06/12/95 
06/12/95 



06/12/95 



06/09/95 



03/20/95 



08/01/95 



07/07/95 
06/30/95' 
04/25/95 
03/22/95 
07/06/95 



10:01 NCR 48 



10:09 NCR 809 



10:08 NCR 700 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1203 



1 



CONTESTED CASE DECISIONS 



AGENCY 

Orange-Person-Chatham Mental Health 

Patricia A. Harris v. Orange-Person-Chatham Mental Health 

Richmond Community College 

Willie J. Breeden v. Richmond Community College 

Department of Transportation 

Michael E. Komegay v. Department of Transportation 

Robert F. Goins v. Department of Transportation 

Esther Doe Murphy v. Department of Transportation 

Judy H. Arnold v. Department of Transportation, Div. of Motor Vehicles 

University of North Carolina 

Beth Ann Miller v. UNC Student Health 

UNC Hospitals 

David Patrick Malone v. Univ. of NC Hospital at Chapel Hill 
Lillian C. Daniels v. UNC Hospital 

Wake County 

Mark Morgan v. Wake County 

STATE TREASURER 

John W. Parris v. Bd. of Trustees//NC Local Gov. Emp. Retirement Sys. 
Channie S. Chapman v. Bd/Trustees//NC Local Gov. Emp. Ret Sys. 
Bryan L. Basden v. Retirement Systems Division 
Wayne La Broad v. Bd./Trustees//Teachers/St. Emp. Retirement Sys. 
Tammy Evonne Ashcroft Brownv. Bd/Tr./ftiC Local Gov. Emp. Ret Sys. 

UNIVERSITY OF NORTH CAROLINA 

Jerry B. Potter, Sr. v. UNC Hospitals at Chapel Hill 



CASE 
NUMBER 



95 OSP 0162 



95 OSP 0846 



94 OSP 0800 



94 OSP 0771 

95 OSP 0056 



94 OSP 0937 



ALJ 



West 



Gray 



Nesnow 



Bee ton 
Morrison 



Nesnow 



DATE OF 
DECISION 



04/11/95 



09/13/95 



PUBLISHED DECISION 
REGISTER CITATION 



93 OSP 1700 


Gray 


03/24/95 


94 OSP 0281 


Chess 


05/30/95 


95 OSP 0114 


Gray 


07/10/95 


95 OSP 1075 


Bee ton 


07/31/95 



05/25/95 



03/14/95 
05/11/95 



04/28/95 



♦ 



10:04 NCR 287 



91 DST 1093 


Nesnow 


05/04/95 




94 DST 0443 


Morrison 


05/15/95 




95 OSP 0171 


Chess 


06/21/95 




95 DST 0219 


Morrison 


07/14/95 




95 DST 0404 


Phipps 


07/27/95 


10:10 NCR 872 



( 



95 UNC 0502 Gray 



09/12/95 



( 



1204 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COUNTY OF MECKLENBURG 



IN THE OFFICE OF 

ADMINISTRATrVE HEARINGS 

94 DHR 1617 



SAMUEL SIMMONS and WIFE, 
ALPHIA MACK SIMMONS, 
Petitioners, 



v. 



NORTH CAROLINA DEPARTMENT 
OF HUMAN RESOURCES 
DrVISION OF CHILD DEVELOPMENT 
Respondent. 



RECOMMENDED DECISION 



This matter was heard before Beecher R Gray, Administrative Law Judge, on July 10, 1995 in Charlotte, North 
Carolina. The parties were granted leave to file proposed findings and written arguments. Petitioners and Respondent filed 
proposals and arguments on August 11, 1995 and August 14, 1995, respectively. 



Petitioners: 



APPEARANCES 



Richard A. Lucey, Esq. 



Respondent: Jane Rankin Thompson 

Assistant Attorney General 

ISSUE 

Whether Respondent's revocation of Petitioners' Family Foster Home License on the grounds of neglect of a child 
placed in Petitioners' care, by denying admission to that child after curfew, is supported by the evidence. 

FINDINGS OF FACT 

1. The parties received notices of hearing by certified mail more than 15 days prior to the hearing and each 
stipulated on the record that notice was proper in all respects. 

2. Petitioners Samuel Simmons and wife, Alphia Mack Simmons are residents of Mecklenburg County, North 
Carolina. Petitioners hold a Family Foster Home License issued by Respondent. Prior to the events in controversy in this 
case, Petitioners never had been the subject of an abuse or neglect complaint concerning foster children in their care. 

3. As of the spring of 1994, Petitioners had several children in their home. The children in the home included 
Allison Hicks, 10 year-old daughter of Petitioner Alphia Mack Simmons by a prior marriage; Michael Simmons, a 14 year 
old adopted son of Petitioner Samuel Simmons; Samantha Simmons, an infant girl being adopted by Petitioners; 13 year-old 
Quinto Real (known as Rico); and his biological brother, 14 year-old Norberto Real (known as J.R.). 

4. Rico and J.R. Real were placed with Petitioners in July, 1991. From July, 1991 until May, 1994, Rico 
and J.R. resided with Petitioners continuously except for the period from February, 1992 through August 14, 1992 when 
J.R. was temporarily placed at the Kennedy Campus. 

5. From July, 1991 through May, 1994, J.R. and Rico Real were in the legal custody of the Mecklenburg 
County Department of Social Services. In 1993, the parental rights of the biological parents of Rico and J.R. were 
terminated. Rico Real was formally adopted by Petitioners under order entered during August, 1994. During J.R.'s 
placement with Petitioners, it was anticipated by all parties that he also would be adopted by Petitioners. 

6. In January, 1994, Permanancy Planning Social Worker Maureen Geier became J.R.'s caseworker. She 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1205 



CONTESTED CASE DECISIONS 



was supervised by Paul Risk, the Unit Coordinator of the Permanancy Planning Unit of the Mecklenburg County Department 
of Social Services. 

7. Petitioners experienced more difficulty with J.R. than with Rico. J.R. "acted out" once or twice per month 
but Petitioners felt that he was controllable. During the spring of 1994, J.R."s grades in school began to drop drastically; 
his teachers became concerned. Petitioners discussed the falling grades with J.R. As a follow-up to this discussion, 
Petitioners placed J.R. on certain restrictions, including: 

1. no television during school week; 

2. Petitioners were to go over J.R.'s homework and would exchange notes with 
teachers; and 

3. J.R. was to receive no allowance so long as his grade situation continued to 
deteriorate. 

8. Prior to April 29, 1994, during the spring of 1994, Petitioners twice called the on-call social worker at the 
Mecklenburg County Department of Social Services to request that J.R. be picked up because of J.R.'s behavior and attitude. 
Mecklenburg Department of Social Services did not pick J.R. up on either of these occasions because it did not have any 
alternative placement for J.R. at the time. During the Spring of 1994, Petitioner AJphia Mack Simmons' fur coat 
disappeared. Petitioners suspect that J.R. took the coat. A refund check from the principal at J.R.'s school was sent home 
via J.R. who kept the check and did not turn it over to Petitioners. J.R. took Petitioner Samuel Simmons' checkbook and 
wrote over $800 in unauthorized checks before Petitioner could stop him. 

9. Petitioners confronted J.R. in late March or early April, 1994 about his involvement with illegal drugs. 
J.R. informed Petitioners that he was not using drugs himself but was selling them. He informed Petitioners that he could 
make more money selling drugs on the week-ends than Petitioners could make and requested to be allowed to stay with 
Petitioners only five days per week. 

10. Soon after Petitioners confronted J.R. about his involvement with illegal drugs, Rico told J.R. that he was 
destroying the family. J.R. got an axe and said that he was going to kill Rico; Petitioners had to intervene to prevent a 
serious incident from becoming worse. 

11. On April 29, 1994, Petitioner Samuel Simmons telephoned J.R.'s assigned caseworker, Maureen Geier, 
and told her about J.R.'s difficulties including his grade dropoff, his involvement with drugs, and his threat to kill Rico with 
an axe. Petitioner expressed concern for the safety of his family, stating to Caseworker Geier that strange cars were coming 
around the house and strange phone calls were coming to his home. Petitioner informed Maureen Geier that J.R. had run 
away on a previous occasion. 

12. Caseworker Geier made a home visit to Petitioners' home on May 2, 1994. J.R. was not in the home that 
day, having run away the day before. Petitioners had not, prior to her visit on May 2, 1994, reported to anyone at the 
Department of Social Services that J.R. had run away on May 1, 1994. Petitioner Samuel Simmons reported to Caseworker 
Geier during the May 2, 1994 home visit that J.R. had stolen checks from Petitioners, that he had been caught shoplifting, 
and that he had requested to stay in Petitioners' home only during the week so that he could sell drugs on the week-ends. 

13. Maureen Geier prepared a secure custody order and had J.R. picked up at his school on May 4, 1994 and 
taken to the "Relatives", a shelter for juveniles. Petitioners were informed on May 4, 1994 by the Mecklenburg Department 
of Social Services that J.R. was at the "Relatives" and that Petitioners should pick him up, which they did. 

14. In addition to calling Caseworker Geier on April 29, 1994, Petitioner Samuel Simmons also called Paul 
Risk who supervised Maureen Geier. Paul Risk instructed Petitioner that if he became concerned for the safety of his family 
because of J.R.'s actions, that he should refuse to admit J.R. into the Simmons home and then call the police and the 
Mecklenburg County Department of Social Services. Paul Risk also offered to place the Simmons family in a motel 
overnight at Department expense if the situation became so dangerous as to warrant it. 

15. On May 9, 1994, Petitioner Samuel Simmons had back surgery. J.R. was with Petitioner in the hospital 
all day on May 9, 1994 and until almost 8 p.m. on May 10, 1994, when Petitioner was discharged. 



1206 NORTH CAROLINA REGISTER October 2, 1995 10:13 



CONTESTED CASE DECISIONS 



16. Petitioner went directly home and to bed in accordance with his doctor's instructions after his discharge 
at approximately 8 p.m. on May 10, 1994. At about 8:30 p.m. that night, J.R. began knocking on the door of Petitioners' 
home, cursing and apparently out of control. Petitioner Samuel Simmons went to the door and told J.R. that he was not 
going to come into the Simmons home until he calmed down and apologized. At about 10:00 p.m., J.R. returned to the 
Simmons home with a neighbor. Petitioner Samuel Simmons explained to the neighbor what had happened and that J.R. 
had been instructed to calm down and apologize before being admitted, whereupon the neighbor left. J.R. also left but 
returned approximately 30 minutes later and apologized for his acting out. He was then admitted to the Simmons home and 
went to bed. Petitioner Samuel Simmons called the on-call social worker at the Mecklenburg County Department of Social 
Services and requested that J.R. be picked up. One and one-half hours later the Department picked J.R. up. He has not 
returned to the Petitioners' home since that time. 

17. A referral or complaint was received by the Mecklenburg County Department of Social Services alleging 
that Petitioners had neglected J.R. on May 10, 1994 by refusing entry to him on the night of May 10, 1994 as punishment 
for his acting out that evening. In accordance with prescribed operating procedure, the investigation of this allegation of 
neglect was referred to and handled by the Gaston County Department of Social Services. 

18. Social Worker Kelly Daniels of the Gaston County Department of Social Services conducted the 
investigation. She interviewed the children residing in the Simmons household as well as J.R., who was then residing in 
another specialized foster care home. She additionally interviewed Petitioner Samuel Simmons, a neighbor of Petitioners, 
Maureen Geier, and Paul Risk. Petitioner AJphia Mack Simmons was not interviewed either because she did not wish to 
be interviewed or because her husband refused to allow her to be interviewed. The relationship between Social Worker 
Daniels and Petitioner Samuel Simmons deteriorated so that it was unworkable by the time she interviewed him for the 
second time on June 9, 1994. 

19. The neighbor informed Social Worker Daniels that J.R. had spent the night at his house on two previous 
occasions. J.R. also reported to the on-call social worker on May 10, 1994 that he had previously been denied access to 
the home by Petitioners. 

20. All of the reported information regarding J.R.'s being denied admission to Petitioners' house on two 
previous occasions came from the neighbor or from J.R. The neighbor's information, according to the evidence produced 
in this contested case hearing, came by and through representations made by J.R. Neither the neighbor nor J.R. testified 
during this contested case hearing. 

21. J.R.'s caseworker, Maureen Geier, testified that she is concerned about J.R.'s capacity to tell the truth. 
Petitioner Samuel Simmons has no doubt that J.R. has a problem with his capacity or willingness to tell the truth. In a 
document entitled "Court Summary", presented to the Juvenile or District Court in Mecklenburg County on or about August 
2, 1994, Social Worker Maureen Geier described J.R.'s current progress, in pertinent part: "[w]hile he is generally doing 
well with his chores, he continues to try to manipulate the professionals and other adults in his life by not telling the truth". 

22. It is specifically found as a fact that all evidence admitted in this contested case, such as the statements 
made by Petitioners' neighbor to Social Worker Daniels, which is grounded upon statements made by J.R., is inherently 
unreliable because the statements of J.R. are not credible. 

23. In August, 1994 J.R. was moved into a group home. He called Petitioner Samuel Simmons when he got 
into trouble at the group home. Petitioner was allowed to visit J.R. in the group home. Petitioner has not allowed J.R. to 
visit his home since he was removed by the on-call worker on May 10, 1994. 

24. As of the August 2, 1994 Court Summary, the Mecklenburg County Department of Social Services, which 
continues to have official custody of J.R. , advocates that J.R. be adopted by Petitioners despite the decision of the Gaston 
County Department of Social Services to "substantiate" the neglect allegation against Petitioners concerning the events of 
May 10, 1994 with J.R. The Department finds and believes that J.R. is "very bonded" with the Simmons family. The 
Department also recommends that a child-specific license be issued to Petitioners so that J.R. can be returned to the Simmons 
home even though the Department envisions Petitioners' foster care license being revoked because of the May 10, 1994 
events. 

25. On November 1, 1994, Respondent issued a letter revoking the foster home license held by Petitioners for 
denying access to the foster home to a foster child on one or more occasions. 



10:13 NORTH CAROLINA REGISTER October 2, 1995 1207 



COXTESTED CASE DECISIONS 



26. The North Carolina General Statutes define "neglected juvenile" as [a] juvenile who does not receive proper 

care, supervision, or discipline from the juvenile's parent, guardian, custodian, or caretaker".... N.C. Gen. Stat. Section 
7A-517(21) (Cum. Supp. 1994). 

CONCLUSIONS OF LAW 

Based upon the foregoing Findings of Fact. 1 make the following Conclusions of Law. 

1 . The parties are properly before the Office of Administrative Hearings. 

2. Respondent has the burden of proof in this contested case hearing and must show, by a preponderance of 
substantial evidence, that Petitioners committed neglect against J.R. Real, a foster child in Petitioners' care. Specifically, 
Respondent must show that Petitioners have failed to render proper care, supervision, or discipline of J.R. 

3. Respondent has failed to carry the burden of establishing by a preponderance of evidence that Petitioners 
neglected J.R. by refusing entry into the foster home to him on one or more occasions as charged in Respondent's revocation 
letter to Petitioners, dated November 1, 1994. The evidence shows that Petitioners did in fact admit J.R. into the home on 
May 10, 1994 after admonishing him to calm down and apologize for his behavior. Given that J.R. and Petitioners have 
established a bond, this parental direction, administered within the background of that bond between those individuals, 
succeeded in calming J.R. down and resulted in his admission into the foster home. There is no credible evidence that 
Petitioners neglected J.R., within the meaning of G.S. 7A-5P(21), by refusing his admission on May 10, 1994 or on any 
other occasion. 

4. Respondent's decision to revoke the foster home license of Petitioners for neglect of J.R. by denying access 
to the foster home to J.R. on one or more occasions is not supported by the evidence and should be reversed. 

RECOMMENDED DECISION 

Based upon the foregoing Findings of Fact and Conclusions of Law, it is hereby recommended that Respondent 
reverse its decision to revoke the foster home license held by Petitioners Samuel and Alphi Mack Simmons because of 
insufficient evidence that Petitioners neglected J.R. within the meaning of G.S. 7A-517(21) by denying access to the home 
to him on May 10, 1994 or on any other occasion. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, P.O. 
Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General Statute 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an opportunity to file 
exceptions to this recommended decision and to present written arguments to those in the agency who will make the final 
decision. G.S. 150B-36(a). 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to furnish a copy 
to the parties' attorney of record and to the Office of Administrative Hearings. 

The agency that will make the final decision in this contested case is the North Carolina Department of Human 
Resources 

This the 13th day of September, 1995. 



Beecher R. Gray 
Administrative Law Judge 



1208 NORTH CAROLINA REGISTER October 2, 1995 10:13 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COUNTY OF HALIFAX 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

95OSP0440 



DENNIS HARRELL, 
Petitioner, 



NORTH CAROLINA DEPARTMENT 
OF CORRECTION, 
Respondent. 



RECOMMENDED DECISION 
ORDER GRANTING SUMMARY 
JUDGMENT FOR RESPONDENT 



For Petitioner: 



For Respondent: 



THIS MATTER came on to be heard by Administrative Law Judge Meg Scott Phipps on July 17, 1995 upon 
consideration of Respondent's Motion to Dismiss the petition for contested case pursuant to G.S. 1A-1, Rules 12(b)(1), (2) 
& (6) of the North Carolina Rules of Civil Procedure and 26 NCAC 3.0101 and 3.0115. 

APPEARANCES 

Stratton C Strand 

Crisp, Davis, Page & Currin, L.L.P. 
4011 Westchase Blvd.- Suite 400 
Raleigh, NC 27607-3954 

Michelle Bradshaw 
Associate Attorney General 
N.C. Department of Justice 
P.O. Box 629 
Raleigh, North Carolina 27602 

ISSUES 

1. Whether or not the Office of Administrative Hearings has subject matter jurisdiction to hear this matter 
pursuant to G.S. 1A-1, Rule 12(b)(1) of the North Carolina Rules of Civil Procedure. 

2. Whether or not the Office of Administrative Hearings has personal jurisdiction to hear this matter pursuant 
to G.S. 1A-1, Rule 12 (b)(2) of the North Carolina Rules of Civil Procedure. 

3. Whether or not the Petitioner has failed to state a claim upon which relief can be granted pursuant to G.S. 
1A-1, Rule 12 (b)(6) of the North Carolina Rules of Civil Procedure. 

After consideration of the pleadings, the law and the submissions of the parties, the undersigned finds the following: 

UNCONTROVERTED FACTS 

1. Petitioner is employed as a Maintenance Mechanic V with the Department of Correction at Tillery 
Correctional Center. He has been employed by the State for over eighteen years and is presently at pay grade level 66. 
Prior to November 1993, Petitioner worked at the Caledonia-Odom Correctional Complex which comprised the prison units 
of Caledonia, Halifax, Odom and Tillery. This unit was dismantled in 1993 and Petitioner was transferred to Tillery with 
no reduction in pay, position or benefits. 

2. Respondent is a department of the State of North Carolina which has the authority to operate and manage 
North Carolina's prison system in its Division of Prisons. 

3. Between 1986 and the fall of 1992, Petitioner and seven other maintenance employees of the Respondent 



10.13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1209 



CONTESTED CASE DECISIONS 



were required to be on rotating restrictive weekend on-call during assigned weekends. Between 1989 and 1992, these 
employees were allowed to be on-call with the use of beepers so they would not be completely restricted to their homes. 
After the fall of 1992, Petitioner was not required to be on-call. 

4. Also from 1987 until 1992, Petitioner alleges that he had numerous work and personality problems with 
another employee, Mr. Chester Allsbrook, which actually came to physical altercations and threats. 

5. In November 1993, the Caledonia-Odom Complex maintenance section was disbanded and its members 
absorbed by three prisons: Caledonia, Odom and Tillery. Ed Nelson, previously the Complex maintenance supervisor, was 
made maintenance supervisor at Caledonia with a projected staff of 16. David Carr, previously a pay grade 66 maintenance 
mechanic, was promoted to pay grade 71 and made maintenance supervisor at Odom with a projected staff of 15. Petitioner 
was assigned to Tillery as the only maintenance mechanic. Petitioner was advised that Tillery required only one maintenance 
employee because of its small size, and it was stated that Petitioner was chosen for the job because of his ability to handle 
any variety of maintenance problem. 

6. Petitioner wrote a letter to Nathan Rice, Institution Commander at the time, on October 28, 1993, 
complaining about the dismantling of the Caledonia-Odom Complex. Petitioner set out in the letter the nature of his 
complaint and the facts leading up to the complaint. Petitioner stated: 

When the breakup was announced [in a June 1993 meeting], we were told that each 
institution would have its own maintenance staff and supervisor. David Carr and I were 
asked separately which unit we wanted to supervise. By previous agreement between 
David and I, he chose Odom and I chose Caledonia. I was then told that Ed Nelson had 
been assigned to Caledonia. I had expected this so I then chose Tillery institution . 

(Petitioner's exhibit to Petitioner's Response to Respondent's Motion to Dismiss) (emphasis added). According to Petitioner, 
he was also advised in the June 1993 meeting that he would be made a supervisor at a pay grade 70 or 71 and that, although 
there was to be only one maintenance personnel at Tillery at the time, four additional positions would be asked for in the 
summer session of the legislature. Later he was told that the additional positions were not asked for in the summer session 
but would be in the "fall session." Again according to Petitioner's letter, he was told in July 1993 that the one maintenance 
position at Tillery was eliminated and therefore, he would no longer be made a supervisor because there would be no one 
to supervise. Petitioner further states he was advised that this would be a temporary situation. By October 1993, this 
situation remained unchanged. In the October 28, 1993 letter, Petitioner did not state that his complaint was based upon 
retaliation for complaining about the on-call compensation or for his problems with Chester Allsbrook. 

7. On October 28, 1993, the staffing decisions were made final in a meeting with the Petitioner. In November 
1993, the Complex maintenance section was disbanded and the maintenance staff were assigned to the three prison units: 
Caledonia, Odom and Tillery. 

8. In January 1994, Petitioner spoke with Charles Creecy, the Caledonia-Odom Complex Administrator. Mr. 
Creecy responded to Petitioner in a memorandum dated January 26, 1994. The memorandum references the Petitioner's 
request to transfer to Caledonia Correctional Institution and how Mr. Creecy and Superintendent Lee at Caledonia attempted 
to work this transfer out for Petitioner. However, no one at Caledonia wanted to transfer to Tillery but if a position came 
open, they would be willing to transfer him there. At this January meeting, Petitioner's concern over on-call compensation 
was raised and forwarded to Nathan Rice. (Petitioner's Exhibit to Petitioner's Response to Respondent's Motion to Dismiss). 

9. On February 21, 1994, Petitioner had a meeting with Nathan Rice, the Institution Commander, who advised 
Petitioner his claims were not timely and were meritless. Nathan Rice did not issue a written decision. At this meeting, 
Petitioner raised new issues regarding the misuse of State property by other employees, i.e., the loaning of a generator to 
a contractor and making deer stands on work time. Some of these allegations were 15 years old. Petitioner at this time 
asked to be considered a "whistleblower" and he did not want to be retaliated against for making these claims. Nathan Rice 
forwarded a lengthy memorandum to Mr. Joseph Hamilton on March 1, 1994 regarding the meeting. Following this 
meeting, Petitioner took no further action with the Respondent regarding his claims. 

10. In July or August 1994, Petitioner hired an attorney, not the attorney of record, who attended a meeting 
with the new Institution Commander, Gary Dixon, to discuss Petitioner's claims. Following this meeting, Petitioner took 
no action regarding his claims. 



1210 NORTH CAROLINA REGISTER October 2, 1995 10:13 



CONTESTED CASE DECISIONS 



11. On December 12, 1994, Petitioner wrote to Ms. Carol Hinnant in the Personnel Office of the Department 
of Correction and stated that he had formally grieved: 1) the denial of on-call compensation and 2) the lack of staff 
necessary to do his job at Tillery with his Institution Head and with the Command Manager without any satisfaction. 
Petitioner states in the letter that the first time that he raised the issue about receiving on-call compensation was in January 
1994 when he spoke to Charles Creecy about the inequities he saw in the reassignment. Petitioner states: "I had not raised 
this issue previously because I feared retaliation." 

12. In the December 12, 1994 letter, which was later to be treated as a Step 3 grievance, Petitioner made three 
requests: 1) that he be compensated for on-call time; 2) that he be provided sufficient staff at Tillery and be promoted to 
supervisor with back pay; and 3) that he be reimbursed for attorney fees. 

13. On March 23, 1995, the Respondent's Personnel Office issued a Step 3 decision which stated that the 
grievance regarding the assignment to Tillery had not been made in accordance with policy and that the on-call compensation 
claim was untimely. However, in an attempt to provide a final explanation to Petitioner, Respondent agency set out a full 
response to those concerns in the decision and Petitioner was properly advised of his appeal rights. 

14. Petitioner filed a petition for contested case hearing with the Office of Administrative Hearings ("OAH") 
on April 21, 1995 and properly served the Respondent. 

15. The petition used by the Petitioner is a form specifically for employee grievances under the State Personnel 
Act, G.S. Chapter 126. Petitioner checked on the form that his appeal was based upon "Retaliation" and under the category 
"Other (Explain)," he wrote "Failure to obey the Fair Labor Standards Act." Under the section for facts supporting the 
appeal. Petitioner's counsel wrote: 

"Mr. Harrell has been retaliated against, among other things, for seeking wages owed 
him under the FLSA. He has been injured in the terms and conditions of his employment 
by arbitrary decisions of the Department of Correction. " 

Petitioner does not state how he was retaliated against, i.e., he does not state that he was discharged, suspended, transferred, 
demoted from his position or reduced in pay or benefits. 

16. Petitioner's complaints were about incidents which occurred prior to 1992 but he did not present any of 
these complaints through the internal grievance process until after his transfer to Tillery in November 1993. Petitioner's 
own initial letter of complaint states that he chose to go to Tillery. After this letter and following his transfer to Tillery, 
the exhibits show that Petitioner's primary concern centered around the fact that no other maintenance staff were placed at 
Tillery as promised and that he was not made supervisor. During 1994, Petitioner began to formulate that he had been 
transferred in retaliation for the early problems he had while at the Caledonia-Odom Complex. The December 12, 1994 
letter constituting the Step 3 grievance asked for on-call compensation and a promotion and maintenance staff at Tillery. 
These complaints are non-disciplinary and non-discriminatory. 

17. In the fall of 1992, the Respondent's internal grievance procedure for non-disciplinary, non-discriminatory 
problems arising from employment required that the Petitioner first discuss his problem with his supervisor within fifteen 
days of the problem. The supervisor is to provide a written response. For a Step 2 grievance, the employee who is not 
satisfied must then request the next level of management to consider the problem within fifteen days after he received an 
unsatisfactory answer or within fifteen days after expiration of the time he was to receive an answer. Step 3 of the grievance 
process requires the dissatisfied employee to submit his grievance in writing within fifteen days after he gets the Step 2 
decision or within fifteen days after the allotted time should no answer be given. During this process, neither employer nor 
employee is to have an attorney present. Petitioner first met with Charles Creecy in January 1994. He also wrote to Nathan 
Rice in October 1993. He then met with Nathan Rice, the Institution Commander, on February 21, 1994. The next meeting 
was held in August 1994 between Petitioner's attorney at the time and Gary Dixon, the new Institution Commander. 
Ultimately, on December 12, 1994, Petitioner filed the Step 3 grievance. Petitioner did not follow the internal grievance 
process in accordance with agency policy nor did he follow the procedure in a timely manner. 

Based upon these uncontroverted facts, the undersigned makes the following: 



10:13 NORTH CAROLINA REGISTER October 2, 1995 1211 



CONTESTED CASE DECISIONS 



CONCLUSIONS OF LAW 

I. Rule 12(B)(6) Motion Converted to Summary Judgment. 

A motion to dismiss for failure to state a claim is allowed where the claimant is entitled to no relief under any 
statement of facts which could be proven. This will occur when: 1) there is a lack of law to support the claim; 2) there 
is an absence of facts sufficient to make a good claim; or 3) the disclosure of some fact necessarily defeats the claim. Garvin 
v. City of Favetteville , 102 N.C.App. 121, 401 S.E.2d 133 (1991). Arguably, the limited facts stated in the petition meet 
this criteria and the petition could be dismissed pursuant to G.S. 1A-1, Rule 12(b)(6) of the North Carolina Rules of Civil 
Procedure. 

However, under the doctrine of "notice" pleading and having reviewed the facts stated in the form petition in the 
light most favorable to the non-moving party, and primarily because the exhibits and affidavits which were submitted by the 
parties were considered by the undersigned. Respondent's Motion to Dismiss based upon a failure to state a claim is 
converted into a motion for summary judgment pursuant to G.S. 1A-1, Rule 12(b). After reviewing the affidavits and 
exhibits of the parties, the undersigned concludes that there are no genuine issues of material fact and therefore, summary 
judgment is proper. 

II. Personal and Subject Matter Jurisdiction . 

A. General 

1. The Department of Corrections is expressly exempt from the contested case provisions of G.S. 
Chapter 150B, the Administrative Procedures Act ("APA"). G.S 150B-l(e)(7). Therefore, "under the plain meaning of 
the NCAPA, Petitioner is entitled to an administrative hearing to appeal his grievance to the OAH only by virtue of another 
statute. " Empire Power C0.V.RC. Dep't of Env't. Health and Natural Resources, 337 N.C. 569, 579, 447 S.E.2d 768, 
774 (1994). The State Personnel Act, G.S. Chapter 126 of the North Carolina General Statutes, gives State employees the 
right to an administrative hearing in OAH for actions arising under Chapter 126. Specifically, G.S. 126-37(a) provides: 

"[a]ppeals involving a disciplinary action, alleged discrimination, and any other contested 
case arising under this Chapter shall be conducted in the Office of Administrative 
hearings as provided in Article 3 of Chapter 150B. . ." 

G.S. 150B-37(a). Therefore, unless Petitioner's employment grievances arise under Chapter 126, OAH does not have 
jurisdiction to hear them. Batten y^ N.C. Dep't of Correction, 326 N.C. 338, 389 S.E.2d 35 (1990); see also . Nailing y^ 
UNC-CH , 117 N.C.App. 318, 451 S.E.2d 351 (1994). 

2. Also, if Petitioner's grievance does not allege discrimination, then he must have complied with 
G.S. 126-34 which requires all permanent state employees having a grievance arising out of their employment to have first 
discussed their problem with their supervisor, then to follow the grievance procedure established by their department. G.S. 
126-37(a) & 34; Batten, supra at 343. 

3. OAH has personal jurisdiction over the Respondent pursuant to G.S. 1A-1, Rule 12(b)(2) of the 
North Carolina Rules of Civil Procedure. The Petitioner properly named and properly served the Respondent department. 

B. Fair Labor Standards Act. 

Petitioner's claim for reimbursement for on-call compensation pursuant to the Fair Labor Standards Act 
is not a cognizable claim under G.S. Chapter 126, the State Personnel Act. Therefore, OAH lacks subject matter jurisdiction 
to hear this claim. 

C. Failure to Post Job Vacancy. 

Petitioner raises for the first time in his prehearing statement a claim of failure to post a job vacancy 
pursuant to G.S. 126-7. 1(a). Although G.S. 126-36.2 permits a direct appeal to the State Personnel Commission without 
having to go through the Respondent's internal grievance procedure, Petitioner is still required to follow the other procedural 
requirements of Chapter 126 such as filing the petition within thirty days after receipt of notice of "the decision or action 
which triggers the right of appeal." G.S. 126-38; Nailing y\ UNC-CH , supra . Petitioner was notified of the final staffing 

1212 NORTH CAROLINA REGISTER October 2, 1995 10:13 



CONTESTED CASE DECISIONS 



decisions for the dismantling of the Caledonia-Odom Complex on October 28, 1993. Petitioner also failed to state any facts 
in support of this claim in the filed petition and therefore, this claim should be dismissed for failure to state a claim and for 
lack of subject matter jurisdiction because this action was not commenced within thirty days of the action which triggered 
the right of appeal. G.S. 1A-1, Rule 12(b)(1) & (6); G.S. 150B-23; G.S. 126-38; Nailing v^ UNC-CH . supra . 

D. Retaliation and "Any Other Contested Case" Claims. 

1. Retaliation Based Upon Discrimination. 

Petitioner's claim that he was transferred to Tillery Correctional Institution in retaliation for 
complaining about the on-call compensation as well as improper activities by other employees and for his problems with a 
fellow employee is not a claim pursuant to G.S. 126-36 even though Petitioner contends that he was denied a position of 
supervisor because no staff was provided to him. Petitioner has not alleged discrimination. 

2. Disciplinary Retaliation. 

Nor has Petitioner made an allegation that he has been discharged, suspended or demoted for 
disciplinary reasons pursuant to G.S. 126-35(a). Nor has he been reduced in pay or position or been involuntarily separated. 
G.S. 126-35(b)-(c). Although a lateral transfer could be seen as disciplinary retaliation in some factual situations, see, e.g. , 
Jones y^ Elizabeth City , 840 F.Supp. 398 (1991) (citing other cases with adverse job actions with no reduction in pay or 
benefits), Petitioner in this case states that he chose to go to Tillery. Also as stated below, he has failed to timely follow 
the internal grievance procedure as required by G.S. 126-34. 

3. "Any Other Contested Case." 

The question of whether Petitioner's appeal is a "contested case" arising under Chapter 126 
depends upon whether or not he has stated grounds recognized in the Act as meriting review under the "any other contested 
case" provision of G.S. 126-37(a). Batten , supra at 345. Although Respondent contends that the decision to transfer 
Petitioner to Tillery was a management decision regarding a reallocation of the Caledonia-Odom Complex maintenance staff, 
there still may be, and the Petitioner so contends there are, personnel matters which may necessarily be a consequence of 
the management decision. N.C. Dep't of Justice y^ Eaker . 90 N.C.App. 30, 33, 367 S.E.2d 392, disc.rev.denied, 322 N.C. 
836, 371 S.E.2d 279 (1988). Petitioner also contends that he has a right to be reimbursed for on-call compensation pursuant 
to State personnel regulations. 

G.S. 126-4(2) and G.S. 126-4(6) provide that the State Personnel Commission shall establish rules 
governing compensation plans as well as the transfer of employees. The Commission has adopted rules relating to transfers 
in 25 NCAC ID .0900 and rules relating to on-call compensation in 25 NCAC ID .1934. Commission rules are to have 
the force and effect of law and G.S. 126-37(a), under the "any other contested case arising under this Chapter" provision, 
provides that jurisdiction for such matters shall be in OAH N.C. Dep't of Justice Vj Eaker . supra at 38-40 (rev'd in 
Batten , supra at 343 only on Eaker's holding that G.S. 126-34 provided grounds for jurisdiction in OAH independently of 
G.S. 126-37). Therefore, rules and regulations of the State Personnel Commission adopted pursuant to G.S. 126-4 can be 
enforced under the "any other contested case" provision of G.S. 126-37(a). 

4. Failure to Follow Internal Grievance Procedure. 

However, in this case, Petitioner failed to follow the internal grievance procedure as required by 
G.S. 126-37(a) and G.S. 126-34. As to the claim for reimbursement of on-call compensation, this was first addressed in 
a meeting with Charles Creecy in 1994 and the last incident giving rise to the claim occurred in the fall of 1992. Even if 
the Petitioner had complained in 1992, he did not follow through with the complaint and make it a formal grievance in a 
timely manner. Throughout the exhibits and the March 23, 1995 decision letter, the Respondent asserted that this claim was 
untimely even though the Respondent addressed this issue fully in its March 23, 1995 letter. The Respondent should not 
be penalized for attempting once again to try to explain their position to the Petitioner. Therefore, this claim for 
reimbursement of on-call compensation pursuant to Personnel rules should be dismissed for lack of subject matter 
jurisdiction. Lewis y± N.C. Dep't of Human Resources, 92 N.C.App. 737, 375 S.E.2d 712 (1989) (agency discretion to 
insist on timeliness when exercised in good faith and in accordance with law). 

As to the claim of retaliation, even if it was determined that Petitioner had established a justiciable 



10:13 NORTH CAROLINA REGISTER October 2. 1995 1213 



CONTESTED CASE DECISIONS 



claim of disciplinary retaliation based upon his job transfer, from the time of his original complaint in October 1993 to 
December 12, 1994, Petitioner did not follow through in a timely manner with his grievance even after hiring counsel. 
Arguably, Respondent agency also did not follow its own policies and procedures because it did not send Petitioner a written 
letter following the January and February 1994 meetings; however, in both meetings, Petitioner was advised that his claims 
had no merit and were not timely. The internal grievance procedure provides that the Petitioner must take certain steps even 
if he has not received a response from the employer. The Respondent's failure to follow its own internal grievance process: 

does not automatically entitle petitioner to a reversal of the dismissal 
determination. In order to claim relief based on a violation of the 
internal appeal procedures, petitioner must show that there was a 
substantial chance there would have been a different result in his case 
if the established internal procedures had been followed. 

Leiphart v. N.C. School of the Arts , 80 N.C.App. 339, 353, 342 S.E.2d 914, cert denied , 318 N.C. 507, 349 S.E.2d 862 
(1986) (distinguished in Eaker, supra at 37 in that the rule in question was a State Personnel rule and not the agency's 
internal grievance procedure). 

The result in this case would not have been different primarily because the Petitioner stated in his 
own exhibits that he chose to go to Tillery. His primary complaint is that after being assigned to Tillery, he was not 
provided with a staff to supervise and therefore, was not provided with a supervisory position. Assuming promises were 
made to Petitioner by his supervisor, these were matters out of his immediate supervisor's control. Positions had to be 
created by the legislature and job classifications are changed by the Office of State Personnel. If such promises or incentives 
to transfer were made, such a promise is not enforceable without approval of the legislature or the State Personnel Director. 
See Opinion of Attorney General to Mr. Richard V. Lee, State Personnel Director , 57 N.C.A.G. 66 (1987). While this may 
seem unfair, failure to add additional maintenance staff and to promote to supervisor when no position was available are not 
matters that are grievable under Chapter 126. 

5. "Whistleblower Statute." 

Article 14 of the State Personnel Act is commonly known as the "Whistleblower" Statute. G.S. 
126-85 provides that no department shall retaliate against an employee for reporting verbally or in writing activities by a State 
agency or employee which constitute, among other things, misappropriation of State resources. G.S. 126-84 & 85. The 
department cannot discharge, threaten or otherwise discriminate against the employee regarding the employee's compensation, 
terms, conditions, location or privileges of employment. G.S. 126-85(a). 

Although "any other contested case arising under this Chapter " shall be heard in OAH in 
accordance with G.S. 126-37(a), a specific avenue for appeal for redress of this grievance is provided in Article 14. A State 
employee injured by a violation of G.S. 126-85 may maintain an action in superior court within one year after the occurrence 
of the alleged violation. G.S. 126-86. When two statutes deal with common subject matter, in this case employee grievances 
under the State Personnel Act, they should be read together and harmonized if possible; however, if there is any conflict 
between the two provisions, the specific statute shall prevail over the general statute unless it appears that the legislature 
intended to make the general act controlling. Batten y^ N.C. Dep't of Correction , supra at 344. A claim of retaliation under 
the Whistleblower Statute must be brought in superior court and not in OAH. Therefore, Petitioner's claim of retaliation 
for complaining about improper or illegal misappropriation of State resources by other employees must be dismissed for lack 
of subject matter jurisdiction. 

HI. Motion to Amend Petition. 

During the hearing on the motion to dismiss, Petitioner's counsel made a motion to amend the petition to assert the 
claims of 1) reimbursement of on-call compensation pursuant to Personnel rules and regulations; and 2) failure to post job 
vacancy. This motion was denied because these were issues based upon facts of which the Petitioner was aware prior to 
the filing of his petition and he chose not to raise these issues in his petition. However, because the issues were addressed 
in the memoranda of law and at the hearing and because G.S. 1A-1, Rule 15(b) requires amendment when the presentation 
of the merits of the action will be preserved thereby, the undersigned has addressed these issues in this decision. The result 
of the decision is not changed whether the petition is amended or not. 

Based upon the foregoing uncontroverted facts and conclusions of law, the undersigned makes the following: 



1214 NORTH CAROLINA REGISTER October 2, 1995 10:13 



CONTESTED CASE DECISIONS 



RECOMMENDED DECISION 

The Respondent's Motion to Dismiss Petitioner's petition for a contested case hearing based upon a lack of subject 
matter jurisdiction and upon a failure to state a claim is converted to a motion for summary judgment pursuant to G.S. 1A-1, 
Rules 12(b) and 56 and is hereby GRANTED. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative Hearings, PO 
Drawer 27447, Raleigh, NC 27611-7447, in accordance with G.S. 150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an opportunity to file 
exceptions to this recommended decision and to present written arguments to those in the agency who will make the final 
decision. G.S. 150B-36(a). The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties 
and to furnish a copy to the parties' attorney of record and to the Office of Administrative Hearings. The agency that will 
make the final decision in this contested case is the State Personnel Commission. 

This the 5th day of September, 1995. 



Meg Scott Phipps 
Administrative Law Judge 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1215 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



lhe North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, titles 
and chapters, are mandatory. The major subdivision of the NCA C is the title. Each major department in 
the North Carolina executive branch of government has been assigned a title number. Titles are further 
broken down into chapters which shall be numerical in order. The other two, subchapters and sections 
are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Examiners 


8 


6 


Council of State 


Chiropractic Examiners 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Crime Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


16 


Public Education 


Landscape Contractors 


28 


17 


Revenue 


Marital and Family Therapy 


31 


18 


Secretary of State 


Medical Examiners 


32 


19A 


Transportation 


Midwifery Joint Committee 


33 


20 


Treasurer 


Mortuary Science 


34 


*21 


Occupational Licensing Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Administrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry 


42 


26 


Administrative Hearings 


Osteopathic Examination & Reg. (Repealed) 


44 


27 


NC State Bar 


Pastoral Counselors, Fee-Based Practicing 


45 






Pharmacy 


46 






Physical Therapy Examiners 


48 






Plumbing, Heating & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Professional Counselors 


53 






Practicmg Psychologists 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Speech & Language Pathologists & Audiologists 


64 






Therapeutic Recreation Certification 


65 






Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



1216 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



1 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



ACUPUNCTURE LICENSING BOARD 



21 NCAC 01 


.0101 


10:02 NCR 


150 


07/01/95 




.0201 


10:07 NCR 


585 


10/01/95 




.0401 - .0402 


10:02 NCR 


150 


07/01/95 




.0501 


10:07 NCR 


585 


10/01/95 




.0701 


10:07 NCR 


585 


10/01/95 


AGRICULTURE 










2 NCAC 34 


.0904 


10:04 NCR 


228 


08/01/95 




.0904 


10:07 NCR 


430 


11/01/95 


ARCHITECTURE 








21 NCAC 02 


.0208 


10:12 NCR 


985 


12/01/95 


02 


.0301 - .0302 


10:10 NCR 


829 


07/01/96 


CERTIFIED PUBLIC ACCOUNTANT EXAMINERS 




21 NCAC 08F 


.0105 


10:04 NCR 


255 


08/01/95 




.0113 


10:04 NCR 


255 


08/01/95 


08G 


.0401 


10:04 NCR 


255 


08/01/95 


08J 


.0005 


10:04 NCR 


255 


08/01/95 




.0008 


10:04 NCR 


255 


08/01/95 


08M 


.0102 


10:04 NCR 


255 


08/01/95 




.0104 


10:04 NCR 


255 


08/01/95 




.0306 


10:04 NCR 


255 


08/01/95 




.0401 


10:04 NCR 


255 


08/01/95 


08N 


.0203 


10:04 NCR 


255 


08/01/95 




.0302 


10:04 NCR 


255 


08/01/95 




.0307 


10:04 NCR 


255 


08/01/95 


CHIROPRACTIC EXAMINERS 








21 NCAC 10 


.0203 


10:04 NCR 


261 


08/01/95 


COMMUNITY COLLEGES 








23 NCAC 02C 


.0108 


10:03 NCR 


208 


09/01/95 




.0210 


10:07 NCR 


587 


01/01/96 




.0211 


10:03 NCR 


208 


09/01/95 




.0301 


10:07 NCR 


587 


01/01/96 




.0306 


10:03 NCR 


:o8 


09/01/95 


02E 


.0403 


10:07 NCR 


587 


01/01/96 


COMMERCE 










4 NCAC 06C 


.0203 


10:05 NCR 


300 


09/01/95 


CORRECTION 










5 NCAC 05 


.0001 


10:01 NCR 


12 


07/01/95 


COSMETIC ART EXAMINERS 








21 NCAC 14B 


.0604 


10:12 NCR 


985 


12/01/95 


CULTURAL RESOURCES 








7 NCAC 02F 


.0002 


10:01 NCR 


12 


07/01/95 


ELECTROLYSIS EXAMINERS 








21 NCAC 19 


.0104 


10:11 NCR 


907 


12/01/95 




.0204 


10:11 NCR 


907 


12/01/95 




.0616 


10:11 NCR 


907 


12/01/95 



08/01/95 
08/01/95 



N/A 



Renoticed in 10:7 



08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 

N/A 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 



08/01/95 



RRC Obj ./Rule Withdrawn 



07/01/95 



08/01/95 



ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

15A NCAC 02B .0101 10:01 NCR 13 

.0104 10:01 NCR 13 

.0202 10:01 NCR 13 

.0211 10:01 NCR 13 



Correction to Notice 
Correction to Notice 
Correction to Notice 
Correction to Notice 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1217 



CUMULATIVE INDEX 



Agency/Rule Citation 




Proposed 

Effective 

Date 






Effective 




Proposed in 
Register 


Fiscal note 


State 


Local 


Date 


Other Information 



( 





.0301 




10:01 NCR 


13 












.0303 




10:08 NCR 


661 


11/01/95 










.0304 




10:04 NCR 


246 


01/01/96 










.0304 




10:05 NCR 


301 


11/01/95 






11/01/95 




.0308 - 


.0310 


10:08 NCR 


661 


11/01/95 










.0308 




10:08 NCR 


661 


02/01/96 










.0313 




10:11 NCR 


901 


02/01/96 










.0315 - 


.0316 


10:08 NCR 


661 


11/01/95 










.0315 




10:08 NCR 


661 


02/01/96 










.0316 




10:04 NCR 


246 


01/01/96 








02D 


.0520 




10:01 NCR 


13 


07/01/95 


X 


X 






.0531 




10:01 NCR 


13 


07/01/95 


X 


X 


07/01/95 




.0902 




10:01 NCR 


13 


07/01/95 


X 


X 


07/01/95 




.0909 




10:01 NCR 


13 


07/01/95 


X 


X 


07/01/95 




.0952 




10:01 NCR 


13 


07/01/95 


X 


X 


07/01/95 




.1402 




10:01 NCR 


13 


07/01/95 


X 


X 


07/01/95 




.1406 




10:01 NCR 


13 


07/01/95 


X 


X 






.1409 




10:01 NCR 


13 


07/01/95 


X 


X 






.1701 - 


.1702 


10:01 NCR 


i3 


07/01/95 


X 


X 






.1801 - 


.1803 


10:01 NCR 


13 


07/01/95 


X 


X 




ES Permit 






10:02 NCR 


56 










04A 


.0001 
.0005 




10:07 NCR 
10:07 NCR 


579 
579 


10/01/95 
10/01/95 








04B 


.0016 
.0020 




10:07 NCR 
10:07 NCR 


579 
579 


10/01/95 
10/01/95 










.0028 




10:02 NCR 


149 


07/01/95 






08/01/95 




.0029 - 


.0030 


10:07 NCR 


579 


10/01/95 








04C 


.0007 - 
.0010 


.0008 


10:07 NCR 
10:07 NCR 


579 

579 


10/01/95 
10/01/95 








04D 


.0002 - 


0003 


10:07 NCR 


579 


10/01/95 








07B 


.0101 




10:09 NCR 


751 


12/01/95 


X 


X 






.0201 - 


.0216 


10:09 NCR 


751 


12/01/95 


X 


X 






.0401 - 


.0406 


10:09 NCR 


75! 


12/01/95 


X 


X 






.0501 - 


.0507 


10:09 NCR 


751 


12/01/95 


X 


X 




07H 


.0208 
.0308 




10:03 NCR 
10:09 NCR 


197 

751 


12/01/95 
12/01/95 










.0309- 


.0310 


10:09 NCR 


751 


02/01/96 










.1705 




10:09 NCR 


751 


12/01/95 










.2201 - 


.2202 


10:03 NCR 


204 


12/01/95 










.2203 




10:03 NCR 


204 


12/01/95 


X 








.2204 - 


.2205 


10:03 NCR 


204 


12/01/95 








07K 


.0103 




10:09 NCR 


751 


12/01/95 








10B 


.0115 




10:06 NCR 


338 


10/01/95 










.0202 - 


.0203 


10:01 NCR 


26 


07/01/95 






07/01/95 




.0202 




10:04 NCR 


249 


08/01/95 






09/01/95 




.0214 




10:01 NCR 


26 


07/01/95 






07/01/95 


IOC 


.0404 
.0407 




10:06 NCR 
10:06 NCR 


338 

338 


12/01/95 
12/01/95 








10D 


.0002- 


.0003 


10:01 NCR 


26 


07/01/95 






07/01/95 




.0003 




10:04 NCR 


250 


08/01/95 






09/01/95 




.0003 




10:06 NCR 


338 


09.01/95 








10F 


.0313 




10:06 NCR 


338 


10/01/95 






10/01/95 




.0317 




10:01 NCR 


26 


07/01/95 






07/01/95 




.0323 - 


.0324 


10:11 NCR 


904 


12/01/95 










.0339 




10:13 NCR 1159 


02/01/96 










.0360 




10:13 NCR 1159 


02/01/96 








10K 


.0003 




10:13 NCR 1159 


02/01/96 








ife Proclamation/Striped 


Bass 


10:02 NCR 


57 


04/10/95 














10:03 NCR 


195 


04/15/95 








13A 


.0006 
.0019 




10:13 NCR 1160 
10:13 NCR 1160 


01/01/96 
01/01/96 








13B 


.0101 
.0103 




10:06 NCR 
10:06 NCR 


350 
350 


10/01/95 
10/01/95 









Correction to Notice 



( 



1218 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



" 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 


Other Information 


State 




Local 







.0503 




10:06 NCR 350 


10/01/95 






.0802 - 


0829 


10:06 NCR 350 


10/01/95 






.1627 




10:06 NCR 350 


10/01/95 




16A 


.1001 




10:07 NCR 582 


01/01/96 


X 




.1002 - 


.1006 


10:07 NCR 582 


01/01/96 




18A 


.1801 - 


.1814 


10:13 NCR 1160 


01/01/96 






.1818 




10:13 NCR 1160 


01/01/96 






.2508 




10:06 NCR 350 


01/01/96 






.2511 




10:06 NCR 350 


01/01/96 






.2516 - 


.2519 


10:06 NCR 350 


01/01/96 






.2521 - 


.2524 


10:06 NCR 350 


01/01/96 






.2526 




10:06 NCR 350 


01/01/96 






.2528 - 


.2535 


10:06 NCR 350 


01/01/96 






.2537 




10:06 NCR 350 


01/01/96 






.2540 - 


.2542 


10:06 NCR 350 


01/01/96 






.2543 




10:06 NCR 350 


01/01/96 






.2601 - 


.2602 


10:13 NCR 1160 


01/01/96 






.2618 




10:13 NCR 1160 


01/01/96 






.2624 




10:13 NCR 1160 


01/01/96 






.2632 




10:13 NCR 1160 


01/01/96 






.2635 - 


.2636 


10:13 NCR 1160 


01/01/96 




19A 


.0401 




10:06 NCR 350 


10/01/95 






.0406 




10:06 NCR 350 


10/01/95 






.0502 




10:06 NCR 350 


10/01/95 




19C 


.0206 




10:05 NCR 305 


10/01/95 


X 


19H 


.0702 




10:07 NCR 582 


10/01/95 


X 


20D 


.0233 - 


.0234 


10:13 NCR 1160 


01/01/96 






.0236 




10:13 NCR 1160 


01/01/96 






.0241 - 


.0243 


10:13 NCR 1160 


01/01/96 






.0247 - 


.0252 


10:13 NCR 1160 


01/01/96 




21F 


.0801 - 


.0802 


10:13 NCR 1160 


01/01/96 






.0804 




10:13 NCR 1160 


01/01/96 






.1101 - 


.1103 


10:13 NCR 1160 


01/01/96 






.1105 




10:13 NCR 1160 


01/01/96 




24A 


.0102 




10:13 NCR 1160 


01/01/96 






.0202 - 


.0204 


10:13 NCR 1160 


01/01/96 






.0301 




10:13 NCR 1160 


01/01/95 






.0404 




10:06 NCR 350 


10/01/95 


X 


FINAL DECISION LETTERS 








Voting Rights Act 






10:01 NCR 02 
10:03 NCR 194 
10:05 NCR 298 
10:10 NCR 825 
10:11 NCR 889 
10:13 NCR 1084 






GENERAL CONTRACTORS LICENSING BOARD 






21 NCAC 12 


.0302 




10:11 NCR 906 


12/01/95 






.0410 




10.11 NCR 906 


12/01/95 




GENERAL STATUTES 










Chapter 150B 






10:13 NCR 1062 






GOVERNOR'S EXECUTIVE ORDERS 






Number 72 






10:01 NCR 01 






Number 73 






10:02 NCR 54 






Number 74 






10:02 NCR 54 






Number 75 






10:03 NCR 191 






Number 76 






10:03 NCR 191 






Number 77 






10:05 NCR 297 






Number 78 






10:06 NCR 336 







Agency Did Not Adopt 



Agency Did Not Adopt 



03/06/95 
03/15/95 
03/27/95 
03/30/95 
04/03/95 
05/02/95 
05/23/95 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1219 



CUMULATIVE INDEX 



^^^^^^™ 


Agency/Rule Citation 


Proposed m 

Register 


Proposed 

Effective 

Date 


Fiscal Note 






State 




Date 


Other Information 









Number 79 








10:07 NCR 


427 




Number 80 








10:07 NCR 


427 




Number 81 








10:08 NCR 


639 




Number 82 








10:10 NCR 


823 




Number 83 








10:10 NCR 


823 




Number 84 








10:12 NCR 


981 




Number 85 








10:13 NCR 1061 




Number 86 








10:13 NCR 1061 




HUMAN RESOURCES 










10 NCAC 


03 D 


.1401 




10:08 NCR 


641 


11/01/95 




03 H 


.0108 - 


.0109 


10:02 NCR 


58 


09/01/95 






.0206- 


.0220 


10:02 NCR 


58 


09/01/95 






.0306 - 


.0318 


10:02 NCR 


58 


09/01/95 






.0407- 


.0409 


10:02 NCR 


58 


09/01/95 






.0505 - 


.0507 


10:02 NCR 


58 


09/01/95 






.0510- 


.0517 


10:02 NCR 


58 


09/01/95 






.0605 - 


.0609 


10:02 NCR 


58 


09/01/95 






.0705 - 


.0712 


10:02 NCR 


58 


09/01/95 






.0810- 


.0812 


10:02 NCR 


58 


09/01/95 






.0903 - 


.0911 


10:02 NCR 


58 


09/01/95 






.1003 - 


.1008 


10:02 NCR 


58 


09/01/95 






.1105- 


.1109 


10:02 NCR 


58 


09/01/95 






.1130- 


.1136 


10:02 NCR 


58 


09/01/95 






.1150 - 


.1163 


10:02 NCR 


58 


09/01/95 






.1204- 


.1208 


10:02 NCR 


58 


09/01/95 






.1210 




10:02 NCR 


58 


09/01/95 






.1306- 


.1308 


10:02 NCR 


58 


09/01/95 






.1405 - 


.1406 


10:02 NCR 


58 


09/01/95 






.1408 - 


.1410 


10:02 NCR 


58 


09/01/95 






.1501 - 


.1503 


10:02 NCR 


58 


09/01/95 






.1612 - 


.1613 


10:02 NCR 


58 


09/01/95 






.1703 - 


.1704 


10:02 NCR 


58 


09/01/95 






.1804- 


.1807 


10:02 NCR 


58 


09/01/95 






.2001 




10:02 NCR 


58 


09/01/95 






.2101 - 


.2110 


10:02 NCR 


58 


09/01/95 






.2201 - 


.2212 


10:02 NCR 


58 


09/01/95 






.2301 - 


.2308 


10:02 NCR 


58 


09/01/95 






.2401 - 


.2402 


10:02 NCR 


58 


09/01/95 






.2501 - 


.2506 


10:02 NCR 


58 


09/01/95 






.2601 - 


.2607 


10:02 NCR 


58 


09/01/95 






.2701 




10:02 NCR 


58 


09/01/95 






.2801 - 


.2802 


10:02 NCR 


58 


09/01/95 






.2901 - 


.2902 


10:02 NCR 


58 


09/01/95 






.3001 - 


.3005 


10:02 NCR 


58 


09/01/95 






.3011 - 


.3016 


10:02 NCR 


58 


09/01/95 






.3021 - 


.3032 


10:02 NCR 


58 


09/01/95 






.3101 - 


.3104 


10:02 NCR 


58 


09/01/95 






.3201 - 


.3202 


10:02 NCR 


58 


09/01/95 






.3301 - 


.3302 


10:02 NCR 


58 


09/01/95 






.3401 - 


.3404 


10:02 NCR 


58 


09/01/95 




03 L 


.0901 - 


.0907 


10:08 NCR 


641 


02/01/96 






.1001 - 


.1007 


10:08 NCR 


641 


02/01/96 






.1101 - 


.1112 


10:08 NCR 


641 


02/01/96 






.1201 - 


.1202 


10:08 NCR 


641 


02/01/96 






.1301 - 


.1303 


10:08 NCR 


641 


02/01/96 






.1401 - 


.1402 


10:08 NCR 


641 


02/01/96 




03M 


.0202- 


.0205 


10:08 NCR 


641 


02/01/96 






.0207 




10:08 NCR 


641 


02/01/96 




14B 


.0501 - 


.0503 


10:07 NCR 


430 


05/01/96 






.0505 - 


.0509 


10:07 NCR 


430 


05/01/96 




14K 


.0101 - 


.0103 


10:07 NCR 


430 


05/01/96 






.0201 - 


.0219 


10:07 NCR 


430 


05/01/96 



06/07/95 
06/13/95 
06/27/95 
07/27/95 
08/03/95 
08/24/95 
09/12/95 
09/12/95 



1220 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 
Effective 


Fiscal Note 


Effective 
Date 


Other Information 




Local 






Date 


State 



.0301 - 


.0310 


10:07 NCR 


430 


05/01/96 


.0312 - 


.0315 


10:07 NCR 


430 


05/01/96 


.0317- 


.0324 


10:07 NCR 


430 


05/01/96 


.0326 - 


.0329 


10:07 NCR 


430 


05/01/96 


.0333 - 


.0348 


10:07 NCR 


430 


05/01/96 


.0350 - 


.0365 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0408 


10:07 NCR 


430 


05/01/96 


14L .0101 - 


.0106 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0203 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0308 


10:07 NCR 


430 


05/01/96 


.0310 




10:07 NCR 


430 


05/01/96 


.0401 - 


.0407 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0606 


10:07 NCR 


430 


05/01/96 


.0609 




10:07 NCR 


430 


05/01/96 


.0611 - 


.0615 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0709 


10:07 NCR 


430 


05/01/96 


.0711 - 


.0712 


10:07 NCR 


430 


05/01/96 


14M .0101 - 


.0113 


10:07 NCR 


430 


05/01/96 


.0501 - 


0511 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0602 


10:07 NCR 


430 


05/01/96 


.0604 




10:07 NCR 


430 


05/01/96 


.0606 




10:07 NCR 


430 


05/01/96 


.0608 - 


.0612 


10:07 NCR 


430 


05/01/96 


.0614 - 


.0615 


10:07 NCR 


430 


05/01/96 


.0617 - 


.0621 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0716 


10:07 NCR 


430 


05/01/96 


14N .0101 - 


.0107 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0207 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0307 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0406 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0507 


10:07 NCR 


430 


05/01/96 


.0701 




10:07 NCR 


430 


05/01/96 


.0703 - 


.0705 


10:07 NCR 


430 


05/01/96 


.0801 - 


.0811 


10:07 NCR 


430 


05/01/96 


.0901 - 


.0905 


10:08 NCR 


656 


05/01/96 


HO .0301 - 


.0314 


10:07 NCR 


430 


05/01/96 


.0401 - 


.0409 


10:07 NCR 


430 


05/01/96 


.0411 - 


.0416 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0505 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0609 


10:07 NCR 


430 


05/01/96 


.0611 - 


.0615 


10:07 NCR 


430 


05/01/96 


.0617 - 


.0618 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0710 


10:07 NCR 


430 


05/01/96 


14V .0101 - 


.0104 


10:07 NCR 


430 


05/01/96 


.0101 - 


.0104 


10:13 NCR 1085 


05/01/96 


.0201 - 


.0208 


10:07 NCR 


430 


05/01/96 


.0201 - 


.0208 


10:13 NCR 1085 


05/01/96 


.0301 - 


.0304 


10:07 NCR 


430 


05/01/96 


.0301 - 


.0304 


10:13 NCR 1085 


05/01/96 


.0401 - 


.0405 


1007 NCR 


430 


05/01/96 


.0401 - 


.0405 


10:13 NCR 1085 


05/01/96 


.0501 - 


.0505 


10:07 NCR 


430 


05/01/96 


.0501 - 


.0505 


10:13 NCR 1085 


05/01/96 


.0601 - 


.0604 


10:07 NCR 


430 


05/01/96 


.0601 - 


.0607 


10:13 NCR 1085 


05/01/96 


.0701 - 


.0712 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0713 


10:13 NCR 1085 


05/01/96 


.0801 - 


.0805 


10:07 NCR 


430 


05/01/96 


.0801 - 


.0805 


10:13 NCR 1085 


05/01/96 


.1101 - 


.1103 


10:07 NCR 


430 


05/01/96 


.1101 - 


.1103 


10:13 NCR 1085 


05/01/96 


.1201 - 


.1203 


10:07 NCR 


430 


05/01/96 


1201 - 


.1203 


10:13 NCR 1085 


05/01/96 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1221 



CUMULATIVE INDEX 



Agency/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 



.1301 - 


.1303 


10:07 NCR 430 


05/01/96 


.1301 - 


.1304 


10:13 NCR 1085 


05/01/96 


.1401 - 


.1403 


10:07 NCR 430 


05/01/96 


.1401 - 


.1403 


10:13 NCR 1085 


05/01/96 


.1501 - 


.1504 


10:07 NCR 430 


05/01/96 


.1501 - 


.1504 


10:13 NCR 1085 


05/01/96 


.2101 - 


.2104 


10:07 NCR 430 


05/01/96 


.2101 - 


.2104 


10:13 NCR 1085 


05/01/96 


2201 - 


.2204 


10:07 NCR 430 


05/01/96 


.2201 - 


.2204 


10:13 NCR 1085 


05/01/96 


.2301 - 


.2306 


10:07 NCR 430 


05/01/96 


.2301 - 


.2306 


10:13 NCR 1085 


05/01/96 


.2401 - 


.2404 


10:07 NCR 430 


05/01/96 


2401 - 


.2404 


10:13 NCR 1085 


05/01/96 


2501 - 


.2505 


10:07 NCR 430 


05/01/96 


2501 - 


.2505 


10:13 NCR 1085 


05/01/96 


3101 - 


.3103 


10:07 NCR 430 


05/01/96 


3101 - 


.3103 


10:13 NCR 1085 


05/01/96 


3201 - 


.3203 


10:07 NCR 430 


05/01/96 


3201 - 


.3203 


10:13 NCR 1085 


05/01/96 


3301 - 


.3303 


10:07 NCR 430 


05/01/96 


3301 - 


.3303 


10:13 NCR 1085 


05/01/96 


3401 - 


.3403 


10:07 NCR 430 


05/01/96 


3401 - 


.3403 


10:13 NCR 1085 


05/01/96 


3501 - 


.3503 


10:07 NCR 430 


05/01/96 


3501 - 


.3503 


10:13 NCR 1085 


05/01/96 


3601 - 


.3604 


10:07 NCR 430 


05/01/96 


3601 - 


.3604 


10:13 NCR 1085 


05/01/96 


3701 - 


.3703 


10:07 NCR 430 


05/01/96 


3701 - 


.3703 


10:13 NCR 1085 


05/01/96 


3801 - 


.3803 


10:07 NCR 430 


05/01/96 


3801 - 


.3803 


10:13 NCR 1085 


05/01/96 


3901 - 


.3903 


10:07 NCR 430 


05/01/96 


3901 - 


.3903 


10:13 NCR 1085 


05/01/96 


4001 - 


.4003 


10:07 NCR 430 


05/01/96 


4001 - 


.4003 


10:13 NCR 1085 


05/01/96 


4101 - 


.4104 


10:07 NCR 430 


05/01/96 


4101 - 


.4104 


10:13 NCR 1085 


05/01/96 


4201 - 


.4203 


10:13 NCR 1085 


05/01/96 


5001 - 


.5002 


10:07 NCR 430 


05/01/96 


5001 - 


.5003 


10:13 NCR 1085 


05/01/96 


5101 - 


.5104 


10:07 NCR 430 


05/01/96 


5101 - 


.5104 


10:13 NCR 1085 


05/01/96 


5201 - 


.5204 


10:07 NCR 430 


05/01/96 


5201 - 


.5204 


10:13 NCR 1085 


05/01/96 


5301 - 


.5303 


10:07 NCR 430 


05/01/96 


5301 - 


.5303 


10:13 NCR 1085 


05/01/96 


5401 - 


.5403 


10:07 NCR 430 


05/01/96 


5401 - 


.5403 


10:13 NCR 1085 


05/01/96 


5501 - 


.5503 


10:07 NCR 430 


05/01/96 


5501 - 


.5503 


10:13 NCR 1085 


05/01/96 


5601 - 


.5603 


10:07 NCR 430 


05/01/96 


5601 - 


.5603 


10:13 NCR 1085 


05/01/96 


5701 - 


.5703 


10:07 NCR 430 


05/01/96 


5701 - 


.5703 


10:13 NCR 1085 


05/01/96 


5801 - 


.5804 


10:07 NCR 430 


05/01/96 


5801 - 


.5804 


10:13 NCR 1085 


05/01/96 


5901 - 


.5903 


10:07 NCR 430 


05/01/96 


5901 - 


.5903 


10:13 NCR 1085 


05/01/96 


6001 - 


.6003 


10:07 NCR 430 


05/01/96 


6001 - 


.6003 


10:13 NCR 1085 


05/01/96 


6101 - 


.6103 


10:07 NCR 430 


05/01/96 


6101 - 


.6103 


10:13 NCR 1085 


05/01/96 



1222 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



rf 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 






Effective 
Date 


Other Information 


State 


Local 



.6201 - 


.6202 


10:07 NCR 


430 


05/01/96 


.6201 - 


.6202 


10:13 NCR 1085 


05/01/96 


.6301 - 


.6303 


10:07 NCR 


430 


05/01/96 


.6301 - 


.6303 


10:13 NCR 1085 


05/01/96 


.6401 - 


.6403 


10:07 NCR 


430 


05/01/96 


.6401 - 


.6403 


10:13 NCR 1085 


05/01/96 


.6501 - 


.6503 


10:07 NCR 


430 


05/01/96 


.6501 - 


.6503 


10:13 NCR 1085 


05/01/96 


.6601 - 


.6603 


10:07 NCR 


430 


05/01/96 


.6601 - 


.6603 


10:13 NCR 1085 


05/01/96 


.6701 - 


.6702 


10:07 NCR 


430 


05/01/96 


.6701 - 


.6702 


10:13 NCR 1085 


05/01/96 


.6801 - 


.6802 


10:07 NCR 


430 


05/01/96 


.6801 - 


.6802 


10:13 NCR 1085 


05/01/96 


.6901 - 


.6903 


10:07 NCR 


430 


05/01/96 


.6901 - 


.6903 


10:13 NCR 1085 


05/01/96 


15A .0115- 


.0127 


10:13 NCR 1085 


01/01/96 


.0205 - 


.0228 


10:13 NCR 1085 


01/01/96 


18A .0124- 


.0128 


10:07 NCR 


430 


05/01/96 


.0130 




10:07 NCR 


430 


05/01/96 


.0132 - 


.0133 


10:07 NCR 


430 


05/01/96 


.0135 - 


.0136 


10:07 NCR 


430 


05/01/96 


181 .0114- 


.0120 


10:07 NCR 


430 


05/01/96 


18J .0110- 


.0119 


10:07 NCR 


430 


05/01/96 


.0212- 


.0213 


10:07 NCR 


430 


05/01/96 


.0304 - 


.0311 


10:07 NCR 


430 


05/01/96 


.0507 - 


.0511 


10:08 NCR 


656 


05/01/96 


.0601 - 


0604 


10:07 NCR 


430 


05/01/96 


.0701 - 


.0715 


10:07 NCR 


430 


05/01/96 


.0801 - 


.0805 


10:07 NCR 


430 


05/01/96 


.0803 




10:02 NCR 


118 


07/01/95 


18K .0109- 


.0116 


10:07 NCR 


430 


05/01/96 


.0262 - 


.0263 


10:08 NCR 


656 


05/01/96 


18L .0107- 


.0108 


10:07 NCR 


430 


05/01/96 


.0223 - 


.0224 


10:07 NCR 


430 


05/01/96 


.0331 - 


.0336 


10:07 NCR 


430 


05/01/96 


.0338 - 


.0339 


10:07 NCR 


430 


05/01/96 


.0428 - 


.0434 


10:07 NCR 


430 


05/01/96 


.0504 




10:07 NCR 


430 


05/01/96 


.0511 




10:07 NCR 


430 


05/01/96 


.0513 




10:07 NCR 


430 


05/01/96 


.0601 - 


.0607 


10:08 NCR 


656 


05/01/96 


.0701 - 


.0705 


10:07 NCR 


430 


05/01/96 


.0707 




10:07 NCR 


430 


05/01/96 


.0801 




10:07 NCR 


430 


05/01/96 


.0803 - 


.0809 


10:07 NCR 


430 


05/01/96 


.0901 - 


.0904 


10:07 NCR 


430 


05/01/96 


.1001 - 


.1006 


10:07 NCR 


430 


05/01/96 


.1101 - 


.1103 


10:07 NCR 


430 


05/01/96 


.1105 - 


.1107 


10:07 NCR 


430 


05/01/96 


.1201 




10:07 NCR 


430 


05/01/96 


.1203 - 


.1206 


10:07 NCR 


430 


05/01/96 


.1301 - 


.1309 


10:07 NCR 


430 


05/01/96 


.1401 - 


.1403 


10:07 NCR 


430 


05/01/96 


.1501 - 


.1525 


10:07 NCR 


430 


05/01/96 


18M .0107 - 


.0110 


10:07 NCR 


430 


05/01/96 


.0206 - 


.0213 


10:07 NCR 


430 


05/01/96 


.0304 - 


.0307 


10:07 NCR 


430 


05/01/96 


.0406 - 


0409 


10:07 NCR 


430 


05/01/96 


.0505 - 


.0506 


10:07 NCR 


430 


05/01/96 


.0607- 


.0608 


10:07 NCR 


430 


05/01/96 


.0701 




10:07 NCR 


430 


05/01/96 


.0703 - 


.0706 


10:07 NCR 


430 


05/01/96 



07/01/95 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1223 



CUMULATIVE INDEX 





Agency /Rule Citatiiw 


Proposed m 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 



i 





.0708 - 


.0714 


10:07 NCR 


430 


05/01/96 






.0801 - 


.0803 


10:07 NCR 


430 


05/01/96 






.0817- 


.0819 


10:07 NCR 


430 


05/01/96 






.0824 - 


.0838 


10:07 NCR 


430 


05/01/96 






.0901 - 


.0908 


10:07 NCR 


430 


05/01/96 






.1001 - 


.1009 


10:07 NCR 


430 


05/01/96 






.1101 - 


.1106 


10:07 NCR 


430 


05/01/96 






.1203 - 


.1204 


10:07 NCR 


430 


05/01/96 






.1302 - 


.1305 


10:07 NCR 


430 


05/01/96 






.1401 - 


.1403 


10:07 NCR 


430 


05/01/96 






.1405- 


.1410 


10:07 NCR 


430 


05/01/96 




18N 


.0105 - 


.0110 


10:07 NCR 


430 


05/01/96 






.0204 - 


.0212 


10:07 NCR 


430 


05/01/96 






.0305 - 


.0306 


10:07 NCR 


430 


05/01/96 






.0601 - 


.0605 


10:08 NCR 


656 


05/01/96 






.0701 - 


.0709 


10:08 NCR 


656 


05/01/96 




180 


.0517 - 


.0524 


10:08 NCR 


656 


05/01/96 




18P 


.0901 - 


.0903 


10:07 NCR 


430 


05/01/96 






.1001 - 


.1004 


10:07 NCR 


430 


05/01/96 




18Q 


.0284 




10:07 NCR 


430 


05/01/96 






.0286- 


.0287 


10:07 NCR 


430 


05/01/96 






.0520 - 


.0521 


10:07 NCR 


430 


05/01/96 






.0538 - 


.0552 


10:07 NCR 


430 


05/01/96 




26B 


.0110 




10:08 NCR 


660 


10/01/95 






.0124 




10:02 NCR 


118 


07/01/95 x 


07/01/95 


26G 


.0703 - 


.0705 


10:12 NCR 


982 


12/01/95 




26H 


.0212 - 


.0213 


10:13 NCR 1153 


01/01/96 x 






.0213 




10:02 NCR 


118 


07/01/95 


07/01/95 




.0302 




10:04 NCR 


228 


08/01/95 x 


08/01/95 




.0304- 


.0305 


10:04 NCR 


228 


08/01/95 x 


08/01/95 




.0308 - 


.0309 


10:04 NCR 


228 


08/01/95 x 


08/01/95 




.0508 




10:12 NCR 


982 


12/01/95 




261 


.0101 - 


.0107 


10:10 NCR 


826 


11/01/95 




39D 


.0302- 


.0303 


10:09 NCR 


722 


11/01/95 




41F 


.0706 




10:03 NCR 


196 


08/01/95 


08/01/95 




.0812 




10:03 NCR 


196 


08/01/95 


08/01/95 


42B 


.1209 




10:13 NCR 1158 


01/01/96 




42C 


.2010 




10:13 NCR 1158 


01/01/96 




42D 


.1409 




10:13 NCR 1158 


01/01/96 




42H 


.0911 




10:09 NCR 


722 


12/01/95 




42W 


.0001 - 


.0002 


10:10 NCR 


S28 


11/01/95 




INSURANCE 














11 NCAC 06A 


.0812 




10:04 NCR 


246 


08/01/95 


08/01/95 


16 


.0704 




10:11 NCR 


900 


12/01/95 




JUSTICE 














12 NCAC 04E 


.0104 




10:07 NCR 


573 


10/01/95 




07D 


.0201 




10:07 NCR 


575 


10/01/95 






.0204 




10:11 NCR 


900 


12/01/95 






.0301 




10:07 NCR 


575 


10/01/95 






.0401 




10:07 NCR 


575 


10/01/95 






.0701 




10:07 NCR 


575 


10/01/95 






.0706 




10:07 NCR 


575 


10/01/95 






.0801 




10:07 NCR 


575 


10/01/95 






.0806 




10:07 NCR 


575 


10/01/95 






.0902 




10:07 NCR 


575 


10/01/95 






.0904 




10:07 NCR 


575 


10/01/95 




09A 


.0204 




10:02 NCR 


122 


08/01/95 


08/01/95 


09B 


.0113 




10:02 NCR 


122 


08/01/95 


08/01/95 




.0201 - 


.0202 


10:02 NCR 


122 


08/01/95 


01/01/96 




.0205 




10:02 NCR 


122 


08/01/95 






.0206 




10:02 NCR 


122 


08/01/95 


08/01/95 



( 



( 



1224 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



T 



CUMULATIVE INDEX 



Agency/Rule Citation 



Proposed in 
Register 



Proposed 

Effective 

Date 



Fiscal Note 



State Local 



Effective 
Date 



Other Information 





.0210 




10:02 NCR 


122 


08/01/95 




.0212- 


.0214 


10:02 NCR 


122 


08/01/95 




.0226 - 


.0228 


10:02 NCR 


122 


08/01/95 




.0232 - 


.0233 


10:02 NCR 


122 


08/01/95 


09C 


.0401 




10:02 NCR 


122 


08/01/95 




.0601 




10:02 NCR 


122 


08/01/95 


09D 


.0102 




10:02 NCR 


122 


08/01/95 




.0104 - 


.0106 


10:02 NCR 


122 


08/01/95 


10B 


.0102 - 


.0103 


10:09 NCR 


723 


01/01/96 




.0105 




10:09 NCR 


723 


01/01/96 




.0204 




10:09 NCR 


723 


01/01/96 




.0301 




10:09 NCR 


723 


01/01/96 




.0304 




10:09 NCR 


723 


01/01/96 




.0307 




10:09 NCR 


723 


01/01/96 




.0401 - 


.0403 


10:09 NCR 


723 


01/01/96 




.0405 




10:09 NCR 


723 


01/01/96 




.0407- 


.0409 


10:09 NCR 


723 


01/01/96 




.0502- 


.0503 


10:09 NCR 


723 


01/01/96 




.0505 




10:09 NCR 


723 


01/01/96 




.0601 - 


.0607 


10:09 NCR 


723 


01/01/96 




.0702- 


.0706 


10:09 NCR 


723 


01/01/96 




.0801 - 


.0803 


10:09 NCR 


723 


01/01/96 




.0901 




10:09 NCR 


723 


01/01/96 




.0903 - 


.0906 


10:09 NCR 


723 


01/01/96 




.0908 - 


.0912 


10:09 NCR 


723 


01/01/96 




.1004- 


.1005 


10:09 NCR 


723 


01/01/96 




.1201 - 


.1205 


10:09 NCR 


723 


01/01/96 


11 


.0210 




10:05 NCR 


301 


09/01/95 


LABOR 












13 NCAC 






10:01 NCR 


10 


01/01/96 








10:01 NCR 


12 


01/01/96 








10.02 NCR 


149 


10/01/95 








10:02 NCR 


149 


01/01/96 








10:02 NCR 


149 


01/01/96 








10:02 NCR 


149 


02/01/96 








10:03 NCR 


196 


01/01/96 








10:03 NCR 


197 


01/01/96 


12 


.0101 




10:02 NCR 


142 


08/01/95 




.0303 - 


.0315 


10:02 NCR 


142 


08/01/95 




.0501 - 


.0502 


10:02 NCR 


142 


08/01/95 




.0803 - 


.0808 


10:02 NCR 


142 


08/01/95 


LIST OF RULES CODIFIED 














10:02 NCR 


167 










10:04 NCR 


272 










10:06 NCR 


392 










10:09 NCR 


783 










10:10 NCR 


845 




MEDICAL EXAMINERS 








21 NCAC 32B 


.0901 - 


.0902 


10:10 NCR 


831 


11/01/95 


32F 


.0003 




10:10 NCR 


831 


11/01/95 


32H 


.0102 




10:02 NCR 


151 


07/01/96 




.0201 




10:02 NCR 


151 


07/01/96 




.0203 




10:02 NCR 


151 


07/01/96 




.0408 




10:02 NCR 


151 


07/01/96 




.0506 




10:02 NCR 


151 


07/01/96 




.0601 




10:02 NCR 


151 


07/01/95 




.0602 




10:02 NCR 


151 


07/01/96 




.0801 




10:02 NCR 


151 


07/01/96 




.1001 




10:02 NCR 


151 


07/01/96 


321 


.0003 - 


.0004 


10:02 NCR 


151 


07/01/95 



08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 
08/01/95 



Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 
Notice 



on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 
on Subject 



Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 
Matter 



Rules Filed 03/95 
Rules Filed 04/95 
Rules Filed 05/95 
Rules Filed 06/95 
Rules Filed 07/95 



07/01/96 
07/01/96 

07/01/96 

09/01/95 
07/01/96 
07/01/96 
07/01/96 
09/01/95 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1225 



CUMULATIVE INDEX 



Aseocy/Rule Citatios 


Proposed in 


Proposed 

Effectire 

Date 


PjscalNote 










Effective 


Other Information 




Register 


State 


Local 


Date 









32M .0001 - 


.0002 


10:10 NCR 


831 


11/01/95 


MORTUARY SCIENCE 










21 NCAC 34B .0401 




10:13 NCR 1182 


01/01/96 


34D .0202 




10:13 NCR 1182 


01/01/96 


.0301 




10:13 NCR 1182 


01/01/96 


NURSING, BOARD OF 










21 NCAC 36 .0109 




10:11 NCR 


908 


01/01/96 


.0202- 


.0203 


10:11 NCR 


908 


01/01/96 


.0209 




10:11 NCR 


908 


01/01/96 


.0211 




10:11 NCR 


908 


01/01/96 


.0216- 


.0219 


10:11 NCR 


908 


01/01/96 


.0221 




10:11 NCR 


908 


01/01/96 


.0225 




10:11 NCR 


908 


01/01/96 


.0227 




10:11 NCR 


908 


01/01/96 


.0318 




10:11 NCR 


908 


01/01/96 


.0320 




10:11 NCR 


908 


01/01/96 


.0322 




10:11 NCR 


908 


01/01/96 


.0401 - 


.0405 


10:10 NCR 


839 


12/01/95 


NURSING HOME ADMINISTRATORS 






21 NCAC 37 .0101 




10:04 NCR 


262 


08/01/95 


.0302 




10:03 NCR 


206 


08/01/95 


.0404 




10:03 NCR 


206 


08/01/95 


.0502 




10:03 NCR 


206 


08/01/95 


.0603 




10:03 NCR 


206 


08/01/95 


.0904 




10:04 NCR 


262 


08/01/95 


.0912 




10:03 NCR 


206 


08/01/95 


.0914 




10:03 NCR 


206 


08/01/95 


PHYSICAL THERAPY EXAMINERS 






21 NCAC 48C .0103 




10:08 NCR 


671 


10/01/95 


48D .0006 




10:08 NCR 


671 


10/01/95 


.0008 




10:08 NCR 


671 


10/01/95 


.0011 




10:08 NCR 


671 


10/01/95 


48E .0110 




10:08 NCR 


671 


10/01/95 


48F .0002 




10:08 NCR 


671 


10/01/95 


48G .0501 - 


.0516 


10:08 NCR 


671 


10/01/95 


.0601 




10:08 NCR 


671 


10/01/95 


48H .0104 




10:08 NCR 


671 


10/01/95 


.0701 - 


.0704 


10:08 NCR 


671 


10/01/95 



« 



08/01/95 



08/01/95 
08/01/95 

08/01/95 



( 



PLUMBING, HEATING & FIRE SPRINKLER CONTRACTORS 

21 NCAC 50 .0402 10:01 NCR 39 09/01/95 

.0505 10:01 NCR 39 09/01/95 



09/01/95 



Agency Did Not Adopt 



PROFESSIONAL COUNSELORS 

21 NCAC 53 



21 NCAC 56 



.0204- 


.0211 


10:01 NCR 40 


07/01/95 


.0301 




10:01 NCR 40 


07/01/95 


.0305 - 


.0309 


10:01 NCR 40 


07/01/95 


.0310 




10:01 NCR 40 


07/01/95 


.0403 - 


.0405 


10:01 NCR 40 


07/01/95 


.0601 - 


.0604 


10.01 NCR 40 


07/01/95 


ENGINEERS AND LAND SURVEYORS 


.0802 




10 


11 NCR 934 


12/01/95 


.0804 




10 


1 1 NCR 934 


12/01/95 


.0902 




10 


11 NCR 934 


12/01/95 


.1103 




10 


11 NCR 934 


12/01/95 


.1301 




10 


11 NCR 934 


12/01/95 


.1602 




10 


11 NCR 934 


12/01/95 



07/01/95 
07/01/95 
07/01/95 

07/01/95 
07/01/95 



i 



1226 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



T 



CUMULATIVE INDEX 



Agency/Rule Citation 


Proposed in 
Register 


Proposed 

Effective 

Date 


Fiscal Note 


Effective 
Date 


Other Information 


State 


Local 





.1604 




10:11 NCR 


934 


12/01/95 




.1608 




10:11 NCR 


934 


12/01/95 




.1707 




10:11 NCR 


934 


12/01/95 




.1712 - 


.1713 


10:11 NCR 


934 


12/01/95 


PSYCHOLOGY BOARD 










21 NCAC 54 


.1701 




10:11 NCR 


929 


12/01/95 




.1707 




10:11 NCR 


929 


12/01/95 




.2704 - 


.2706 


10:11 NCR 


929 


12/01/95 


PUBLIC EDUCATION 










16 NCAC 06D 


.0106 




10:07 NCR 


584 


11/01/95 


REAL ESTATE COMMISSION 








21 NCAC 58 A 


.0110 




10:02 NCR 


157 


07/01/95 




.0403 




10:04 NCR 


263 


08/01/95 




.0503 




10:04 NCR 


263 


08/01/95 




.0504- 


.0506 


10:02 NCR 


157 


07/01/95 




.0505 




10:04 NCR 


263 


08/01/95 




.1703 




10:02 NCR 


157 


07/01/95 




.1707- 


.1708 


10:02 NCR 


157 


07/01/95 




.1710- 


.1711 


10:02 NCR 


157 


07/01/95 


58E 


.0103 




10:02 NCR 


157 


07/01/95 




.0203 - 


.0204 


10:02 NCR 


157 


07/01/95 




.0303 - 


.0305 


10:02 NCR 


157 


07/01/95 




.0406 - 


0407 


10:02 NCR 


157 


07/01/95 




.0506 




10:02 NCR 


157 


07/01/95 




.0515 




10:02 NCR 


157 


07/01/95 


REFRIGERATION EXAMINERS 








21 NCAC 60 


.0102 




10:04 NCR 


264 


08/01/95 




.0105 




10:09 NCR 


781 


11/01/95 




.0204 




10:04 NCR 


264 


08/01/95 




.0314 




10:04 NCR 


264 


08/01/95 




.1102 




10:04 NCR 


264 


08/01/95 




.1103 




10:09 NCR 


781 


11/01/95 


REVENUE 












Tax Review Board 






10:01 NCR 


03 




Tax Review Board 






10:07 NCR 


428 




Tax Review Board 






10:09 NCR 


716 




Tax Review Board 






10:11 NCR 


890 




SECRETARY OF STATE 








18 NCAC 06 


.1205- 


.1206 


10:05 NCR 


306 


09/01/95 




.1208 




10:05 NCR 


306 


09/01/95 




.1302 - 


.1305 


10:05 NCR 


306 


09/01/95 




.1313 




10:05 NCR 


306 


09/01/95 




.1402 




10:11 NCR 


906 


12/01/95 


SOCIAL WORK, 


BOARD OF 








21 NCAC 63 


.0306 




10:13 NCR 1185 


01/01/96 


STATE PERSONNEL 










25 NCAC 01 C 


.0207 




10:04 NCR 


264 


08/01/95 




.0402- 


0408 


10:04 NCR 


264 


08/01/95 


01D 


.0201 




10:04 NCR 


264 


08/01/95 




.0205 




10:04 NCR 


264 


08/01/95 




.0207 




10:04 NCR 


264 


08/01/95 




.0211 




10:04 NCR 


264 


08/01/95 




.0401 




10:12 NCR 


98b 


12/01/95 




.0406 




10:12 NCR 


986 


12/01/95 



07/01/95 
08/01/95 
08/01/95 
07/01/95 
08/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 
07/01/95 



08/01/95 

08/01/95 
08/01/95 
08/01/95 



10:13 



NORTH CAROLINA REGISTER 



October 2, 1995 



1227 



CUMULATIVE INDEX 





Agency/Rule Citation 


Proposed in 
Register 


Proposed 
Effective 








Fiscal Note 


Effective 








Date 


Other Information 


Date 


State 


Local 











.0504 




10:12 NCR 


986 


12/01/95 






.0509 




10:07 NCR 


588 


10/01/95 






.0510- 


.0511 


10:12 NCR 


986 


12/01/95 






.0515 




10:12 NCR 


986 


12/01/95 






.0808 




10:04 NCR 


264 


08/01/95 






.0910 




10:12 NCR 


986 


12/01/95 






.1001 




10:04 NCR 


264 


08/01/95 






.1001 




10:12 NCR 


986 


12/01/95 






.1005 




10:12 NCR 


986 


12/01/95 






.1009 




10:04 NCR 


264 


08/01/95 






.1009 - 


.1010 


10:12 NCR 


986 


12/01/95 






.1201 




10:04 NCR 


264 


08/01/95 






.1204 




10:04 NCR 


264 


08/01/95 






.1401 




10:04 NCR 


264 


08/01/95 






.1801 - 


.1802 


10:04 NCR 


264 


08/01/95 






.1928 




10:12 NCR 


986 


12/01/95 






.2001 




10:04 NCR 


264 


08/01/95 






.2601 - 


.2604 


10:12 NCR 


986 


12/01/95 




01E 


.0304- 


.0305 


10:12 NCR 


<86 


12/01/95 






.0804 




10:04 NCR 


264 


08/01/95 






.1001 - 


.1002 


10:12 NCR 


986 


12/01/95 






.1110 




10:12 NCR 


986 


12/01/95 






.1402 - 


.1409 


10:07 NCR 


588 


10/01/95 






.1410 - 


.1411 


10:07 NCR 


588 


10/01/95 




01H 


.0628 




10:12 NCR 


986 


12/01/95 




on 


.2301 - 


.2310 


10:12 NCR 


986 


12/01/95 




01J 


.0401 - 


.0413 


10:12 NCR 


986 


12/01/95 






.0501 - 


.0511 


10:12 NCR 


986 


12/01/95 






.0604 - 


.0606 


10:07 NCR 


588 


10/01/95 






.0608 




10:07 NCR 


588 


10/01/95 






.0610 - 


.0612 


10:07 NCR 


588 


10/01/95 






.0613 - 


.0615 


10:07 NCR 


588 


10/01/95 






.0801 - 


.0809 


10:12 NCR 


986 


12/01/95 




01K 


.0312 




10:04 NCR 


264 


08/01/95 






.0318 




10:12 NCR 


986 


12/01/95 






.0701 - 


.0705 


10:12 NCR 


986 


12/01/95 






.0707 - 


.0708 


10:12 NCR 


986 


12/01/95 




OIL 


.0101 - 


.0106 


10:12 NCR 


986 


12/01/95 


rRANSPOl 

19A NCAC 


JTAT1 

02D 


ON 

.0415 




10:12 NCR 


984 


12/31/95 






.0801 




10:04 NCR 


254 


09/01/95 




04A 


.0004 




10:10 NCR 


829 


12/01/95 



< 



08/08/95 



( 



1228 



NORTH CAROLINA REGISTER 



October 2, 1995 



10:13 



BARCLAYS OFFICIAL NORTH CAROLINA ADMINISTRATIVE CODE - 1995 



DESCRIPTION 







ONE-TIME 


ANNUAL 






PURCHASE 


SUBSCRIPTION 




CODE 


PRICE 


PRICE 




201 00 00 


$63.00 


$90.00 




201 10 05 


$21.00 


$30.00 




201 10 33 


$17.50 


$25.00 




202 00 00 


$98.00 


$140.00 




202 1 5 09 


$28.00 


$40.00 




202 1 5 34 


$21.00 


$30.00 




202 15 43 


$21.00 


$30.00 




202 15 48 


$21.00 


$30.00 




202 1 5 52 


$21.00 


$30.00 




203 00 00 


$7.00 


$10.00 




204 00 00 


$87.50 


$125.00 




204 1 5 02 


$12.00 


$40.00 




204 1 5 03 


$24.50 


$35.00 




204 1 5 06 


$14.00 


$20.00 




204 1 5 09 


$14.00 


$20.00 




204 15 10 


$14.00 


$20.00 




204 15 16 


$24.50 


$35.00 




206 00 00 


$66.00 


$80.00 




205 1 5 02 


$24.50 


$35.00 




206 00 00 


$21.00 


$30.00 




207 00 00 


$21.00 


$30.00 




208 00 00 


$7.00 


$10.00 


e 


209 00 00 


$31.60 


$46.00 




210 00 00 


$346.60 


$496.00 




210 20 10 


$45.50 


$66.00 




210 20 20 


$31.50 


$45.00 




210 20 30 


$77.00 


$110.00 




210 20 40 


$119.00 


$170.00 




210 20 41 


$31.50 


$45.00 




210 20 42 


$31.50 


$45.00 




210 20 43 


$28.00 


$40.00 




210 20 44 


$17.50 


$25.00 




210 20 45 


$35.00 


$50.00 




211 00 00 


$63.00 


$90.00 




211 1001 


$56.00 


$80.00 




211 1 04 


$24.50 


$36.00 




211 10 05 


$17.50 


$26.00 




211 1 06 


$28.00 


$40.00 




211 10 08 


$21.00 


$30.00 




212 00 00 


$63.00 


$90.00 




212 1007 


$21.00 


$30.00 




212 1009 


$31.50 


$45.00 




212 10 11 


$17.50 


$25.00 




213 00 00 


$77.00 


$110.00 




213 15 06 


$14.00 


$20.00 




213 20 00 


$31.50 


$45.00 




213 15 12 


$14.00 


$20.00 




213 15 13 


$14.00 


$20.00 




213 15 14 


$14.00 


$20.00 




213 15 15 


$14.00 


$20.00 


ride 


214 00 00 


$31.50 


$45.00 




214 00 08 


$17.50 


$25.00 




21400 11 


$14.00 


$20.00 


Full Title 


216 00 00 


$276.50 


$395.00 




215 15 00 


$115.50 


$166.00 




215 15 10 


$49.00 


$70.00 




215 15 20 


$49.00 


$70.00 




215 15 30 


$56.00 


$80.00 




215 15 31 


$35.00 


$50.00 




215 15 32 


$17.50 


$25.00 



Title 1 - Dept. of Administration 

Division of Purchase & Contract 
Federal Block Grant Funds 



Full Tide 



Title 2 - Dept. of Agriculture - Full Titie 

Food & Drug Protection Division 
Structural Pest Control Committee 
Agricultural Markets 
Plant Industry 
Animal Industry 

Titie 3 - Dept. of State Auditor - Full Titie 

Titie 4 - Dept. of Commerce - Full Titie 

Alcoholic Beverage Control Commission 

Banking Commission 

Credit Union Division 

Savings & Loan Division 

Industrial Commission/Workers Compensation 

Savings Institutions Division 



Titie 5 - Dept. of Corrections 

Division of Prisons 



Full Titie 



Titie 6 - Councl of State - Full Title 

Titie 7 - Dept. of Cultural Resources - Full Title 

Titie 8 - State Board of Elections - Full Title 

Titie 9 - Offices of the Governor & Lt. Governor - Full Title 

Titie 10 - Dept. of Human Resources - Full Titie 

Licensing of Health Facilities 

Detention Facilities 

Mental Health & Rehabilitation Services 

Social Services 

Children Service6/Day Care 

Services for the Aging 

Services for the Blind 

Services for the Deaf &. Hard of Hearing 

Employment Opportunities 

Titie 1 1 - Dept. of Insurance - Full Title 

Insurance 

Consumer Services 

Fire & Rescue Services 

Agent Services 

Engineering & Building Codes 

Title 12 - Dept. of Justice - Full Title 

Private Protective Services 

Police & Sheriff's Education & Training Standards 

NC Alarm Systems Licensing Board 

Title 13 - Dept. of Labor - Full Tide 

Mine & Quarry Safety 

General Safety OSHA 

Wage &. Hour Rules 

Boiler & Pressure Vessel Safety 

Apprenticeship & Training 

Elevator & Amusement Device Safety 

Title 14A - Dept. of Crime Control & Public Safety - Full 

Alcohol Law Enforcement 
Victims Compensation Fund 

Title 15A - Dept. of Environ., Health, & Nat. Resources 

Environmental Management 

Air Quality 

Water Quality 

Land & Wa6te Management 

Solid Waste Management 

Underground Storage Tanks 



DESCRIPTION 





ONE-TIME 


ANNUAL 




PURCHASE 


SUBSCRIPTION 


CODE 


PRICE 


PRICE 


216 16 40 


♦31.60 


♦ 45.00 


215 26 00 


♦ 106.00 


♦ 160.00 


216 26 10 


♦ 42.00 


♦ 60.00 


215 25 20 


♦ 36.00 


♦ 60.00 


215 25 30 


♦ 59.50 


♦ 85.00 


215 26 31 


♦ 17.60 


♦ 26.00 


216 00 00 


$21.00 


$30.00 


216 10 06 


♦ 21.00 


♦ 30.00 


217 00 00 


♦ 91.00 


$130.00 


217 16 10 


♦ 31.60 


♦ 45.00 


217 15 20 


♦ 56.00 


♦ 80.00 


217 15 27 


♦ 31.50 


♦ 45.00 


217 15 29 


♦ 21.00 


♦ 30.00 


218 00 00 


$21.00 


$30.00 


218 10 06 


$21.00 


♦ 30.00 


219 00 00 


$63.00 


$90.00 


219 10 02 


♦ 28.00 


♦ 40.00 


219 10 03 


♦ 36.00 


♦ 50.00 


220 00 00 


$31.50 


$45.00 


221 00 00 


$143.50 


$205.00 


222 00 00 


$0.00 


$0.00 


223 00 00 


$7.00 


$10.00 


224 00 00 


$7.00 


$10.00 


225 00 00 


$42.00 


$60.00 


226 00 00 


$7.00 


$10.00 


227 00 00 


$42.00 


$60.00 


299 99 98 


$375.00 


$750.00 


266 00 00 


.. 


$750.00 


266 50 00 




$250.00 


288 50 00 


$295.00 


$476.00 


288 80 00 


$40.00 


$76.00 


299 90 00 


$16.00 





Coasta Management 

Environmental Hearth 

Radiation/Nuclear Waste 

Sanitation 

Public Hearth 

Intoxilizer & Breathalyser 

T'rtle 1 6 - Dept . of Public Instruction - Fufl Title 
Elementary & Secondary Education 

This 1 7 - Dept. of Revenue - FuS Title 
Taxes on Individuals 
Taxes on Business 
Sales & Use Tax Division 
Motor Fuels Tax Division 

Trde 18 - Secretary of State - Full T'rde 

Securities Division 

T'rtle 1 9A - Dept. of Transportation - Futl Trde 

Division of Highways 
Division of Motor Vehicles 

Trde 20 - Dept. of the State Treasurer - Full Trde 

Trde 21 - Occupational Licensing Boards - Full Trde 

Trde 22 - Administrative Procedures Act - Repealed 

Trde 23 - Dept. of Community Colleges - Full Trde 

Trde 24 - Independent Agencies - Furl Trde 

Trde 25 - Office of State Personnel - Full Trde 

Trde 26 - Office of Administrative Hearings - Futl Title 

Trde 27 - North Carolina State Bar - FuM Trde 

North Carolina Administrative Code - Full Code 
(Add ♦85.00 Shipping and Handling) 

CD-ROM North Carolina Administrative Code 
CD-ROM North Carolina Administrative Code 

(When purchased with the Full Code in Print) 

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